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Red Mountain Capital Partners, LLC (Delisted)

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

          Chief Compliance Officer
        

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


We employ a Chief Financial Officer, Chief Compliance Officer, Controller and top-tier service providers to manage operational risk.

 

The Fund’s cash is primarily held in custody at Goldman Sachs, but Red Mountain also maintains a bank account and a second custody account with State Street Bank and Trust Company (“State Street”). We require the signature of an authorized signatory to open accounts and to execute transfers of cash and securities.

 

We maintain internal controls and procedures at each stage of the trading cycle, including trade authorization, execution, settlement, reconciliation and accounting. In addition, we segregate duties between those who are authorized to trade and those who are responsible for recording trading activity.

 

Our operations and compliance teams maintain the Fund’s authorized signatory list and are responsible for providing updates to the list to Goldman Sachs and State Street.

 

Since inception, the Fund has experienced no significant operational issues.

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

3 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 (Not Completed)


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