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ClearBridge Investments

PRI reporting framework 2019

You are in Strategy and Governance » Governance and human resources

Governance and human resources

SG 07. RI roles and responsibilities

07.1. Indicate the internal and/or external roles used by your organisation, and indicate for each whether they have oversight and/or implementation responsibilities for responsible investment.

Roles

Select from the below internal roles

          Research Director of Fundamental Research
        

07.2. For the roles for which you have RI oversight/accountability or implementation responsibilities, indicate how you execute these responsibilities.

Given that the directive for ESG integration is directly supported by senior management (CEO, CIOs), the execution of these RI responsibilities are carried out by the respective investment professionals (DOR, PMs, analysts) for the research and management of the portfolios for ESG-integrated assets across the entire firm's assets. In addition, trading, marketing, and compliance would be involved as well.

07.3. Indicate the number of dedicated responsible investment staff your organisation has.

64 Number

07.4. Additional information. [Optional]

The number above for dedicated responsible investment staff includes senior mgmt, portfolio managers on RI/ESG-integrated investment strategies, and all the the sector and portfolio analysts who are responsible for researching, engaging and assigning an ESG rating to each company under coverage.

I confirm I have read and understood the Accountability tab for SG 07 I confirm I have read and understood the Accountability tab for SG 07

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


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

08.1. Indicate if your organisation’s performance management, reward and/or personal development processes have a responsible investment element.

Chief Executive Officer (CEO), Chief Investment Officer (CIO), Chief Operating Officer (COO), Investment Committee

08.1a. RI in objectives, appraisal and/or reward

08.1b. RI in personal development and/or training plan

Other C-level staff or head of department

          Research Director of Fundamental Research
        

08.1a. RI in objectives, appraisal and/or reward

08.1b. RI in personal development and/or training plan

Portfolio managers

08.1a. RI in objectives, appraisal and/or reward

08.1b. RI in personal development and/or training plan

Investment analysts

08.1a. RI in objectives, appraisal and/or reward

08.1b. RI in personal development and/or training plan

Dedicated responsible investment staff

08.1a. RI in objectives, appraisal and/or reward

08.1b. RI in personal development and/or training plan

08.3. Provide any additional information on your organisation’s performance management, reward and/or personal development processes in relation to responsible investment.

The above investment professionals are each involved and responsible with RI objectives, appraisals and/or reward, as well as ongoing training and development.

This is possible because the co-CIO co-manages an ESG strategy

The Director of Research is also a sector analyst responsible for fundamental coverage and ESG integration (and oversight of the other sector analysts for fundamental coverage and ESG integration)

Almost all portfolio managers manage ESG-integrated strategies across the firm

All investment analysts are responsible for fundamental coverage and ESG integration

The dedicated responsible investment staff are fund managers and portfolio analysts for ESG-integrated strategies


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