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Pengana Capital Group

PRI reporting framework 2018

You are in Strategy and Governance » Governance and human resources


SG 07. RI roles and responsibilities

07.1. 組織にある役職、それぞれについて責任投資を監督や実施する責任があるかどうかを記載してください。


07.2. RIの監督/説明責任または実施責任を担う役職について、このような責任をどのように果たすのか記載してください。

It is the investment team's responsibility to ensure compliance with the RI policy. This is monitored by the CIO with assistance from a third party ESG research provider that conducts an annual review of the portfolio to ensure the investee companies pass our negative screen. We also conduct reviews of individual securities on an adhoc basis if there are concerns about the whether a company will pass the negative screen.

The CIO monitors all mandate breaches, including breaches of the negative ethical screen applied by the International equity strategies.  If breaches occur they are discussed between the CIO and the relevant team and corrective action taken.  Persistent breaches or unresolved breaches are included in the Breach Register which is submitted to the Compliance Committee.  All Compliance Committee papers are then submitted to the Responsible Entity boards.

07.3. 組織にいる専任の責任投資担当者の人数を記載してください。


07.4. Additional information. [Optional]

Note that the number provided in SG07.3 refers to our Portfolio Managers who apply the responsible investment implementation into their stock selection process.  the individuals with oversight responsibility have similar respnsibility across the whole organisation and are therefore not included here.

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

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