Public HTML RI reports - PRI reporting framework 2018

Connor, Clark & Lunn Private Capital Ltd.

PRI reporting framework 2018

Asset class implementation gateway indicators [OO 10 - 12] Peering questions [OO LE 01 - INF 03]

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Outsourcing to fiduciary managers and investment consultants [SG 12] ESG issues in asset allocation [SG 13 - 15] Asset class implementation not reported in other modules [SG 16 - 17] Innovation [SG 18] Communication [SG 19]

Indirect – Manager Selection, Appointment and Monitoring

Listed Equity and Fixed Income Strategies [SAM 01] Selection [SAM 02 - 03] Appointment [SAM 04] Monitoring [SAM 05 - 07] Outputs and outcomes [SAM 08 - 09]

Assurance

Assurance [CM1 01.1 - 01.7]

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Basic information

OO 01. Signatory category and services

01.1. Select the services and funds you offer

Fund management

Fund of funds, manager of managers, sub-advised products

% of assets under management (AUM) in ranges

<10%

10-50%

>50%

Other, specify

Further options for investment managers (may be selected in addition to the above)

Execution and advisory services

Hedge funds

Fund of hedge funds

01.3. Additional information. [Optional]

All asset class (e.g. equity, fixed income, alternatives) investment managers/subadvisors are affiliates of parent company: Connor, Clark & Lunn Financial Group.

Connor, Clark & Lunn Private Capital is also an affiliate of Connor, Clark & Lunn Financial Group.

OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

Canada

02.2. Indicate the number of countries in which you have offices (including your headquarters).

2-5

6-10

>10

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

99 FTE

02.4. Additional information. [Optional]

There are 99 staff members of Connor, Clark & Lunn Private Capital across all offices in Canada.

OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

Yes

03.3. Additional information. [Optional]

Some subsidiaries within the parent company, Connor, Clark & Lunn Financial Group, are individually UN PRI signatories themselves.

OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

31/12/2017

04.2. Indicate your total AUM at the end of your reporting year, Exclude subsidiaries you have chosen not to report on and any advisory/execution only assets.

Total AUM
Total AUM	trillions	billions	millions	thousands	hundreds
Currency
Assets in USD
Assets in USD	trillions	billions	millions	thousands	hundreds

04.5. Additional information. [Optional]

OO 06. How would you like to disclose your asset class mix

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

06.1. Select how you would like to disclose your asset class mix.

as percentage breakdown

as broad ranges

	Internally managed (%)	Externally managed (%)
Listed equity	0 0	>50% 54
Fixed income	0 0	10-50% 25
Private equity	0 0	<10% 1
Property	0 0	<10% 5
Infrastructure	0 0	<10% 3
Commodities	0 0	0 0
Hedge funds	0 0	<10% 9
Forestry	0 0	0 0
Farmland	0 0	0 0
Inclusive finance	0 0	0 0
Cash	0 0	<10% 1
Other (1), specify	0 0	<10% 1
Other (2), specify	<10% 1	0 0

'Other (1)' specified

          Private Debt.

'Other (2)' specified

          Miscellaneous segregated assets.