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Pengana Capital Group

PRI reporting framework 2018

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Assurance

CM1 01.1. Assurance, verification, or review

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

01.1. Indicate whether the reported information you have provided for your PRI Transparency Report this year has undergone:


CM1 01.2 & 01.8. Assurance of this year's PRI data

01.2. Do you plan to conduct third party assurance of this year's PRI Transparency report?


CM1 01.3 & 01.9. Assurance of last year's PRI data

01.3. We undertook third party assurance on last year’s PRI Transparency Report


CM1 01.4, 10-12. Other confidence building measures

01.4. We undertake confidence building measures that are unspecific to the data contained in our PRI Transparency Report:

01.12. Describe the process of external/third party ESG audit of holdings, including which data has been assured.

Description of process (including what data has been assured)

Pengana engages an independent ESG researcher to conduct an annual review of companies newly introduced to the Fund portfolio since the last review. The basis for the evaluation is the ethical policy as summarised.

The outcome of the review is a report highlighting investments which may not be compliant with the ethical investment policy. The report is considered by the Investment Team and follow-up analysis of possible non-compliant investments may be undertaken.

Pengana has final discretion on whether or not to divest non-compliant investments. Where it is decided to divest, the asset is disposed as soon as practicable, as determined on a case-by-case basis, whilst endeavouring to realise the best price it reasonably can, taking into account liquidity and other market forces.

On occasion Pengana may choose to engage with an investee company rather than divest as a better way to effect change.


CM1 01.5. External assurance (Not Applicable)


CM1 01.6. Assurance or internal audit (Not Applicable)


CM1 01.7. Internal verification

01.7. Indicate who has reviewed/verified internally the whole - or selected data of the - PRI Transparency Report . and if this applies to selected data please specify what data was reviewed

Who has conducted the verification

Sign-off or review of responses

01.13. Additional information for all confidence building measures [OPTIONAL]

          
        

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