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Alexander Forbes Investments Limited

PRI reporting framework 2018

You are in Strategy and Governance » Governance and human resources

Governance and human resources

SG 07. RI roles and responsibilities

07.1. Indicate the roles present in your organisation and for each, indicate whether they have oversight and/or implementation responsibilities for responsible investment.

Roles present in your organisation

Other description (1)

          Investment Committee

07.2. For the roles for which you have RI oversight/accountability or implementation responsibilities, indicate how you execute these responsibilities.


It is the CIO’s role to ensure that RI is integrated within the investment process and investment team.  The Head of RI reports to the CIO.

Investment team and Portfolio Managers:

The investment team and Portfolio Managers are required to develop an understanding of how asset managers incorporate ESG considerations into their investment process and understand potential ESG risks within the portfolios they manage. Using both their own research and the research driven by the Head of Responsible Investing, they are required to engage with asset managers on potential ESG risks within the portfolios they manage, proxy voting results and engagements asset managers are having with company management. All members of the investment team report to the CIO.

Head of RI:

The Head of RI is responsible for the actual implementation and integration of RI within the business and the investment process. 

Within the investment process, this ensures that there is integration across asset classes:

This deliverable includes managing responsible investing due diligence engagements, analysing these findings and recommending ESG ratings, collation and analysis of proxy voting from asset managers and identifying and managing engagements around material ESG risks within asset manager portfolios.

Assisting clients (trustees) with a practical approach to responsible investing:

This deliverable entails ongoing communication and “education” internally to client servicing teams and externally to boards of trustees in the form of presentations and supporting material to assist in the RI debate and discussion. We have also assisted clients in developing their own RI policies and created an RI framework to assist clients in their implementation of RI in their investment process.

Research and promoting ESG considerations:

We have worked on an Environmental Sustainability Questionnaire with the World Wide Funde for Nature with the aim of creating an industry framework for asset managers to use when assessing potential environmental risks of a company.

Proxy voting and engagement:

We need to ensure that we understand how asset managers are voting their proxies on our behalf and ensure that they are active owners. We monitor and report on proxy voting quarterly. We also try to understand where the contentious issues are and the engagements asset managers are having in this regard.


07.3. Indicate the number of dedicated responsible investment staff your organisation has.

1 Number

07.4. Additional information. [Optional]

SG 07 CC. Climate-issues roles and responsibilities (Not Applicable)

SG 08. RI in performance management, reward and/or personal development (Private)