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Freeman Spogli & Co

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。

Freeman Spogli is committed to promoting an organizational culture that encourages responsible investment. In addition to complying with ESG criteria that are required by law, the Firm has implemented a fluid investment policy that balances the best interests of our investors as a whole, the particular objectives the Firm sets for each of its portfolio companies and applicable ESG factors that may arise in connection with our potential investments.

In evaluating a transaction, each member of the Firm is responsible for analyzing, evaluating and reviewing the potential ESG implications of an investment. When the Firm identifies that an investment may have aspects that may not meet its ESG standards, it will often hire a third party advisor to review and assess those aspects of the transaction. With regard to portfolio investments, the Firm seeks opportunities to promote ESG responsibility and awareness, including environmental stewardship, consumer protection, human rights and diversity.

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.

Transactions shall be reviewed by the Investment Committee of Freeman Spogli Management Co., LLC, the general partner of Freeman Spogli.  The current members of the Investment Committee are the eleven partners of Freeman Spogli Management Co., LLC.  All investment transactions by the Funds must be approved by all of the members present at a meeting of the Investment Committee at which a quorum is present (a majority of members) after considering the applicable due diligence findings.  The Investment Committee may also approve investment transactions by written consent based on the same vote that would have been required to authorize such action at a meeting held in person.  Upon receipt of the Investment Committee’s approval to purchase, the Chief Compliance Officer or his designee will conduct a review to verify that the transaction is in the best interest of the applicable Fund and is consistent with that Fund’s investment strategy and restrictions.

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios (Private)