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Barrow, Hanley, Mewhinney & Strauss, LLC

PRI reporting framework 2019

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, interpretation of fiduciary (or equivalent) duties,and how they consider ESG factors and real economy impact.

The BHMS investment process focuses on the bottom-up process of stock selection using first hand, fundamental securities analysis.  Our investment process can therefore fully consider, research and effectively integrate all relevant ESG factors in every investment decision.   Our investment horizon is long term, 3 to 5 years on average.   A patient, long term approach is often required to allow the benefits of ESG investing to impact the performance of a holding.  The BHMS investment team is unusually stable, leading to uniformity and consistency in our investment process and analysis of ESG factors.  BHMS is one of the largest managers of active equities for institutional investors in the US, and as such we are a major shareholder of many companies in which we invest.   Our visibility as a large, long term investor gives BHMS direct and effective access to the management and boards of companies in which we invest and we use this leverage to engage company management on ESG factors that need to be addressed.   In many instances, we believe positive change in a company can be affected by our ownership of a stock more so than by avoiding the holding all together.   

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]

01.6. Additional information [Optional].

          
        
I confirm I have read and understood the Accountability tab for SG 01 I confirm I have read and understood the Accountability tab for SG 01

SG 01 CC. Climate risk (Not Applicable)


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.

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

02.2. Indicate if any of your investment policy components are publicly available. Provide URL and an attachment of the document.

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

02.3. 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.

As a fiduciary, BHMS is required to act in each client’s best interests and to care for the clients’ assets in such a manner as to benefit the client. Violations of the Firm’s fiduciary duty could damage the reputation of the Firm and could also harm its clients, and subject the organization and its employees to legal liability and regulatory penalties. Compliance with this duty can be achieved by trying to avoid conflicts of interest and by fully disclosing all material facts concerning any conflict that does arise with respect to any client. The Firm’s policy is to consider any conflict or potential conflict of interest when conducting business. Conflicts may arise both inside and outside BHMS, therefore the Firm examines, reviews and addresses these conflicts and competing interests formally through our internal controls and procedures, and on an ongoing basis in our advisory business.

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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