This report shows public data only. Is this your organisation? If so, login here to view your full report.

Connor, Clark & Lunn Investment Management Ltd.

PRI reporting framework 2018

Export Public Responses
Pdf-img

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.

At CC&L, we believe that all else being equal:

  • Our fiduciary responsibility to our clients requires that we focus first and foremost on optimizing client returns versus risk within the context of their constraints and objectives.
  • Companies operating with sound business practices, including appropriate attention to environmental issues, social practices and corporate governance, are more likely to outperform those without.
  • Companies with unsustainable practices and poor corporate governance are likely to be subject to a higher cost of capital and operational risk.
  • The impact of ESG practices on the outlook for risk and return increases with the investment horizon.
  • ESG initiatives and regulations differ across industries, sectors and regions, and our ESG approach should reflect these differences.
  • In the context of our fiduciary responsibility, addressing issues relating to ESG through our proxy voting, our research and our risk assessments is preferable to simply divesting of, or screening out, securities from our investable universe.
  • We can best advocate for greater attention to ESG issues in our investable universe by participating in and supporting relevant coalitions, such as the Canadian Coalition for Good Governance, and various industry initiatives.
  • We have a responsibility to advocate for the integrity of capital markets

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.

URL/Attachment

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

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].

While our RI policy is available on our website, we also make both the RI policy as well as our Proxy Voting Policy available to clients upon request.


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.

CC&L adheres to the Code of Ethics as prescribed by the CFA Institute (CFAI). CC&L is in compliance with CFAI’s ethical investment management standards and subscribes to full disclosure. A formal policy delineating Standards of Personal Conduct (SPC) and encompassing a personal trading policy is in place. Policies are monitored on an ongoing basis by the firm’s Compliance Officer, and reviewed at least annually by the Board of Directors. On an annual basis, all members of firm confirm their understanding of and adherence to the firm’s SPC. On a quarterly basis, all personnel provide an online certification written report of trading activity and conflicts of interest. Trading activity is audited in accordance with CC&L’s internal procedures and a report on Compliance Activities is provided to the Board of Directors on a quarterly basis.

Some members of the firm are involved in various outside activities in their community.  All such outside activities have been reviewed and approved by CC&L’s UDP, and disclosed to securities regulators in accordance with National Instrument 31-103.  None of these activities present a material conflict of interest with the members obligations to CC&L and its clients, and no issues have been raised by the securities regulators. 

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


Top