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Greentech Capital Advisors, LLC

PRI reporting framework 2018

You are in Strategy and Governance » Investment policy


SG 01. RI policy and coverage


01.1. 責任投資アプローチをカバーする投資ポリシーを策定しているかどうかを明示してください。

01.2. ポリシーの構成要素/種類と対象範囲を示してください。


01.3. 投資ポリシーが以下のどの項目をカバーしているか明示して下さい:

01.4. 組織の投資原則および全体の投資戦略、ならびに、ESG 要因および実体経済の影響をどのように考慮に入れているのかについて説明して下さい。

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. 責任投資アプローチをカバーする組織の投資ポリシーの重要な構成要素、バリエーション、例外事項を簡潔に説明してください。

SG 02. Publicly available RI policy or guidance documents


02.1. 一般に入手できる組織の投資ポリシー文書を記載してください。その文書のURLを記入し、該当文書を添付してください。

02.2. 一般に入手できる組織の投資ポリシー文書を記載してください。その文書のURLを記入し、該当文書を添付してください。



02.3. 組織の投資原則および全体の投資戦略が公表されているかどうかについて明示して下さい。

02.4. 補足情報 [任意]

SG 03. Conflicts of interest

03.1. 組織として、投資プロセスにおける潜在的な利益相反を管理するポリシーを策定しているかどうかについて明示して下さい。

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. 組織では、ポートフォリオ対象企業において発生するインシデントの特定と管理を行うプロセスを設定しているかどうか明示して下さい。

04.2. インシデントを管理するプロセスを説明して下さい

          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.