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Daiwa SB Investments (Delisted)

PRI reporting framework 2018

You are in Direct - Listed Equity Active Ownership » Engagement » Overview


LEA 01. Description of approach to engagement

New selection options have been added to this indicator. Please review your prefilled responses carefully.

01.1. Indicate whether your organisation has a formal engagement policy.

01.2. Attach or provide a URL to your engagement policy.

01.3. Indicate what your engagement policy covers:

01.4. Provide a brief overview of your organization’s approach to engagement

In addition to our daily contacts with investee companies, we discuss and make dialogue from various perspectives such as management strategies of them, efforts toward improvement of capital efficiency, and ESG related issues.

Based on the status of response by the investee companies and the importance of the problem, we will fulfill fiduciary responsibilities appropriately by proper means, such as strengthening our efforts to solve problems through dialogue with the companies, properly exercising voting rights, and executing trading of the issues in the market.

In this process, collective engagement, which cooperates with other institutional investors in some circumstances, is one option.

In talking with investee companies, we inform at the beginning of the meetings that we do not intend to acquire unpublished important information, and pay sufficient attention so as not to damage the fairness of the market.

However, in the unlikely event that we have acquired undisclosed important information, we request companies to disclose them promptly and make appropriate information management based on our internal rules.

01.6. Additional information [optional]

LEA 02. Reasoning for interaction on ESG issues

02.1. Indicate the method of engagement, giving reasons for the interaction.

Type of engagement

Reason for interaction

Individual/Internal staff engagements
Collaborative engagements

Please specify why your organisation does not engage via collaborative engagements.

Because Daiwa SBI is an active investor and we do not want to share knowledge and information related to our competitive advantage, we can not find appeal to collaborate with other institutional investors for competitive reasons.


Service provider engagements

Please specify why your organisation does not engage via service providers.

Because there is no need to use a service provider.


02.2. Additional information. [Optional]