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DSM Capital Partners LLC

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.

DSM is a bottom-up, idea driven, growth stock firm with an intermediate to long-term investment horizon. Our nine person investment team combines intensive fundamental research with a rigorous valuation methodology that we believe helps to reduce risk and enhance long term returns.

We search for growing businesses with attractive returns, solid business fundamentals, and intelligent management. We believe these businesses typically will have projected revenue and earnings growth of at least 10% annually and will frequently have higher returns on equity and assets than the average business. In addition and at least as importantly, the financial returns of the businesses are typically stable or rising, driven by improving business fundamentals.

It is DSM’s policy to include ESG factors in its investment process. In general, if DSM determines that ESG factors may have a material impact on the potential long-term returns of an investment, DSM will complete in-depth research on those issues and continue to monitor them for any developments and determine whether any action should be taken with respect to the investment. DSM will invest in companies with ESG issues when our research concludes that the issues are not material to long-term financial returns.

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

URL/Attachment

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

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

02.4. Additional information [Optional].


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.

DSM has adopted a Code of Ethics describing its commitment to integrity and high ethical standards. The Code of Ethics is based upon the principle that DSM and its employees owe a fiduciary duty to clients to conduct their affairs, including personal securities transactions, in such a manner as to avoid any actual or potential conflict of interest.  The Code of Ethics contains provisions relating to the prohibition against trading on material, non-public information. It also describes permissible personal securities transactions, gifts and entertainment, outside business activities as well as protecting the confidentiality of client information. 

To align the interest of its employees with its clients, DSM encourages its employees to personally invest in the same model investment strategies and securities as its clients.  This may cause a conflict as DSM, its employees and their related accounts may invest in the same securities, at the same or different times, that it purchases and sells for clients.  Under the Code of Ethics, employees of DSM and their immediate family members must obtain pre-clearance from DSM's Chief Compliance Officer for certain securities transactions. 

All employees of DSM must acknowledge the terms of the Code of Ethics annually and as amended.  

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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