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Genesis Investment Management, LLP

PRI reporting framework 2018

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



LEA 03. Process for identifying and prioritising engagement activities


03.1. 貴社内のスタッフが実行するエンゲージメント活動を特定し、優先順位を決定する正式なプロセスが貴社にあるかどうか示してください。

03.2. 貴社内のスタッフが実行するエンゲージメントを特定し、優先順位を決定する際に使用する基準を説明してください。


          Engagement issues (ESG and others) are based on materiality to long-term shareholder value. The priorities for such interactions are tailored to each company.

03.3. Additional information. [Optional]

Genesis views engagement as the purposeful communication with company management on a wide range of matters which have a material impact on long-term shareholder value including strategy, capital structure, performance, risk and corporate governance.The priorities for engagements are tailored to each company by the stock owner and reflect their view of the current and future prospects of the particular company as a position in client portfolios.  The stock owner records the details of company engagements in a central database which allows information and expertise to be shared across the Investment Team. 

LEA 04. Objectives for engagement activities


04.1. 貴社内のスタッフが実行する貴社のエンゲージメント活動に具体的な目的を定義しているかどうかを記載してください。

04.2. 貴社内のスタッフが実行する貴社のエンゲージメントを受けた企業の行動をエンゲージメント中および後で監視しているかどうかを記載してください。

04.3. 貴社内のスタッフが行うエンゲージメント活動の進捗を監視のうえ評価するために以下のいずれかを実施しているかどうか示してください。


          Monitoring, timelines and/or objectives are specific to each company and determined by the portfolio manager.  Not all engagements necessitate concrete objectives.

04.4. Additional information. [Optional]

Engagement activities are an integral research tool used to inform the overall investment and proxy voting process with respect to such company.  The objectives of all engagements with companies are tailored to the specific company.

Our aim is to build long-term relationships with companies and have frank and constructive communications with them. As a result we have a strong preference that such engagement activities remain private.


LEA 05. Process for identifying and prioritising collaborative engagement


05.1. 協働的なエンゲージメントを特定し、優先順位を決定する正式なプロセスが貴社にあるかどうか示してください。

05.3. Additional information [Optional]

Collaborative engagement opportunities are evaluated on a case-by-case basis.

LEA 06. Objectives for engagement activities



06.1. 貴社が関与する協働的なエンゲージメントに目的が定義されているかどうか示してください。

06.2. 貴社の協働的なエンゲージメントを受けた企業の行動をエンゲージメント中および後で監視しているかどうかを記載してください。

06.3. 貴社の協働エンゲージメント活動の進捗を監視し、評価するために以下のいずれかを実施しているかどうか示してください。

06.4. Additional information. [Optional]

As noted, collaborative engagements are the exception.  



LEA 09. Share insights from engagements with internal/external managers

09.1. エンゲージメントから得た考察を、貴社内の運用担当者や貴社外の運用会社と共有しているかどうかを記載してください。




09.2. Additional information. [Optional]

Internal communication and interaction between team members, either as a large group or (more frequently) in smaller groups of two or three, is key to the success of our process. 

We maintain a central database for all notes from meetings with company management.  This is available to all members of the Investment Team.

LEA 10. Tracking number of engagements

10.1. 貴社がエンゲージメントの数を追跡しているかどうかを記載してください。



10.2. Additional information. [OPTIONAL]

We maintain notes on all material interactions with investee companies.  These are available to the full Investment Team.  As noted, we interact with company management on a variety of issues which are not limited to meetings to influence (or identify the need to influence) ESG practices and/or improve ESG disclosure.  These notes are referred to by the portfolio manager on a regular basis for monitoring company performance and analysis.

We do not currently track ESG interactions as a subset of all interactions with companies.  Typically ESG issues are covered in conjunction with other material matters.