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Triodos Investment Management B.V.

PRI reporting framework 2018

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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

          Transparancy policy
        

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.

Triodos Investment Management finances and invest in companies, institutions and projects that add cultural value and aim to benefit people and the environment. Triodos Investment Management does this with the support of investors who want to encourage socially responsible business and a sustainable society. Triodos Investment Management (Triodos IM) manages Socially Responsible Investment (SRI) funds and impact funds. The SRI funds enable clients and Private Banking to invest in listed companies with high sustainability performance. Through the impact funds Triodos IM directly invests in sustainable companies and projects.

To assess investment proposals, our relationship managers and fund managers refer to our Business Principles in the first instance. Then, the Lending Criteria which specify how Triodos IM’s vision and mission are translated into investment practice are applied. Our Minimum Standards & Exclusions set out the absolute minimum requirements that Triodos Investment Management applies for its investment activities.

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.

Other, specify (1) description

          Transparancy code
        

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

URL/Attachment

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.

Conflicts of Interest Policy

Triodos Investment Management takes measures to mitigate conflicts of interest which may occur from the different roles and responsibilities it has towards the managed funds, the funds investors and the companies in which we invest. We have clear procedures in place containing rules covering situations where (potential) conflict of interests could occur. These procedures are described in our ‘Triodos Policy on Confidential Information, Chinese walls, and Conflicts of Interest’.

Furthermore Triodos IM commits itself to the DUFAS Principles of Fund Governance, which include several provisions on Conflicts of Interest. In line with these provisions and as far as appropriate, a segmentation between investment decisions, settlement of transactions, administration of transactions and control is in place to prevent (potential) conflicts of interests. Triodos IM installed “Chinese walls” to manage the flow of price-sensitive information and other confidential market information. There is an organizational, physical and personnel segregation between the business units to the extent that this is reasonably necessary, relative to their activities. Appropriate information-sharing barriers are in place to prevent dissemination of sensitive market information. No price-sensitive or confidential market information is exchanged between business units other than is required to effectively carry out their work.

03.3. Additional information. [Optional]

Triodos co-workers can be appointed to a management or supervisory position of a company which is financed by one of our funds, except in case of Triodos SICAV I. In case of an appointment, the appointed co-workers is not allowed to deliberate or participate on any decision where there is a conflict of interest.

It is possible that companies and projects which are financed by our funds also invest in a Triodos fund. Triodos co-workers are not allowed to take part on such investment decisions in order to prevent a conflict of interest. In relation to financed companies, Triodos Investment Management has provisions in place which prevent Triodos co-workers to use confidential information for any other purpose then for which it has been acquired.


SG 04. Identifying incidents occurring within portfolios

04.1. Indicate if your organisation has a process for identifying and managing incidents that occur within portfolio companies.

04.2. Describe your process on managing incidents

          For investments in the stock markets, the dataprovider provides bi-weekly overview of alerts, relating to any ESG controversies. Alerts are picked up within two weeks. In case of serious concerns companies are placed under review. If a company is removed from the universe, the asset manager has to sell the securities within six months. 
For direct investments the fund manager monitors the investments through periodical reviews and as part of the ongoing long-term relationships. In case of concerns immediate contact takes place.
        

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