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Nomura Alternative Investment Management (Europe) Ltd

PRI reporting framework 2018

You are in Strategy and Governance » Investment policy

Investment policy

SG 01. RI policy and coverage

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

01.1. Indicate if you have an investment policy that covers your responsible investment approach.

01.2. Indicate the components/types and coverage of your policy.

Select all that apply

Policy components/types

Coverage by AUM

01.3. Indicate if the investment policy covers any of the following

01.4. Describe your organisation’s investment principles and overall investment strategy, and how they consider ESG factors and real economy impact.

NAIM implements quantitative and systematic strategies with exposure across asset classes. As a result, ESG-considerations are usually taken during the design of the initial quantitative process and in-depth analysis of the systematic strategies to be used to implement the investment objective of the fund. NAIM has in place an ESG Policy and carries out an analysis of the strategies used in order to ensure that the underlying market positions taken by our funds do not distort the market. During the product development and approval phase, our quantitative analysts would conduct specific analysis regarding the impact of potential strategy positions on their respective markets, particularly with regards to liquidity, capacity and volatility and this is incporated in the internal approval process of new projects and presented to NAIM Investment Committee.

01.5. Provide a brief description of the key elements, any variations or exceptions to your investment policy that covers your responsible investment approach. [Optional]


SG 02. Publicly available RI policy or guidance documents

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

02.1. Indicate which of your investment policy documents (if any) are publicly available. Provide a URL and an attachment of the document.

02.2. Indicate if any of your investment policy components are publicly available. Provide URL and an attachment of the document.

URL/Attachment

URL/Attachment

URL/Attachment

02.3. Indicate if your organisation’s investment principles, and overall investment strategy is publicly available

02.4. Additional information [Optional].

NAIM provides a summary of the processes and apporaches for incorporating ESG principles as described in its internal ESG Policy in its website (http://www.nomuranow.com/naim/about/).


SG 03. Conflicts of interest

03.1. Indicate if your organisation has a policy on managing potential conflicts of interest in the investment process.

03.2. Describe your policy on managing potential conflicts of interest in the investment process.

All Nomura employees must ensure that conflicts of interest are identified and escalated appropriately. This is critical for the management of regulatory, legal and reputational risks and to ensure the fair treatment of clients. The primary structural measures implemented to manage potential or actual conflicts of interest include Chinese Walls; separate supervision of employees; removal of direct links between the remuneration of business areas or persons principally engaged in one activity and the remuneration of, or revenues generated by, employees principally engaged in another activity where a conflict of interest may arise in relation to those activities; segregation of decision-making and duties to ensure that employees are not exposed to conflicts of interest from being concurrently or sequentially involved in regulated or administrative activities on behalf of clients or Nomura; and measures to be taken to prevent an employee from exercising inappropriate influence over the way in which another employee carries out services or activities.

Additional measures are implemented including conflict clearance procedures, additional policies and procedures, regional transactional committees; training and awareness; and monitoring and surveillance of activities.

Please refer to policy summary:http://www.nomuranow.com/naim/resources/pdf/NAIM_Conflicts_of_Interest_Policy_summary_-_January_2018.pdf

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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