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Greentech Capital Advisors, 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.

The GCA Sustainable Growth Fund invests in sustainable energy, food, and water companies, and greater emphasis is placed on the environmental component of ESG. Our coverage universe was specifically crafted to include both pure-play companies providing sustainable products and services, as well as legacy companies with >50% of revenue from sustainability initiatives.   We look for companies whose products promote resource efficiency.

The GCA Emerging Markets Sustainable Growth Fund  invests in a concentrated portfolio of companies that embrace robust environmental, social and governance (ESG) standards across emerging and frontier markets.The coverage universe includes thematic sectors aligned with UN Sustainable Development Goals including Climate Change, Health & Nutrition, Water & Waste Management, Financial Inclusion, and Communication & Education. 

Once a company is deemed to be within the coverage universe, the portfolios are constructed of companies that offer the best risk-adjusted return potential. In determining risk-adjusted returns, ESG assessments factor into our estimate of a company's cost of capital and therefore the intrinsic value of the security. Companies with high ESG assessments will have lower costs of capital and therefore higher valuations than those with low ESG assessments.

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.

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.

The firm has rigorous procedures and controls in place to avoid conflicts of interest:

> Clear disclosure in fund offering documents and presentation material of potential conflicts

> Distinct business lines housed in separate legal entities

> Physical segregation of employees to prevent informal exchange of information

> Fund team in separate office space or in segregated space at GCA with secure key-card access for each business group

> Physical segregation of company files (electronic and physical)

> “Need to Know” policy in place

> Conflict Review Committee, comprised of Managing Partner, Chief Operating Officer and Compliance Manager

03.3. Additional information. [Optional]

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

          On each business day, the Compliance Team compiles a post-trade Compliance Report detailing compliance with the established investment guideline constraints and tolerances for each Fund. Any deviation detected will be highlighted in the report. Our Compliance Team and Accounting Team investigate any investment guideline breach or deviation. 
Once a breach or deviation has been identified, the Compliance Team will commence a specific workflow to monitor that the appropriate actions are taken. 
The exposure parameters are reviewed daily and if a parameter is breached the Chief Operating Officer and the Compliance Manager will force the PM to close down or reduce the position.  If required, the Chief Operating Officer can close down positions.