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ClariVest Asset Management 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.

ClariVest’s commitment to Responsible Investment begins with our investment process, and identifying companies with Environmental, Social and Governance (ESG) issues that we believe have the potential to negatively impact expectations around the company in keeping with our typical expectations horizon (i.e., 6 to 24 months).  We identify these companies by obtaining ratings information for a universe of 10,000 stocks with respect to (1) Norms-Based Analysis and (2) Controversial Weapons Analysis.

The Norms-Based Analysis focuses on a company’s adherence to global norms on environmental protection, human rights, labor standards and anti-corruption.  The Controversial Weapons Analysis focuses on companies that are involved in the production of weapons banned under international legal instruments, or those that are particularly controversial due to their indiscriminate effects and the disproportionate harm they cause.

The ratings information described above is pushed to Portfolio Managers (PM) at each stage of the investment process, including initial idea screening, investment thesis development, at time of trade and during ongoing portfolio monitoring.  We task our investment professionals with making the inherently subjective decision as to whether to invest in a company for which an ESG issue exists.

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

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

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.

Where possible, ClariVest seeks to organize its business activities, including external arrangements, so as to avoid conflicts. Where conflicts are unavoidable ClariVest must and shall ensure that appropriate policies and procedures are put in place to manage any such conflicts. In cases where a conflict is not capable of being managed (such that it is eliminated), the requirement is that full and frank disclosure be made to the affected client(s).  The management process of any conflict will focus on ensuring that the interests of any client are always protected and that the interests of ClariVest and/or any associated party(ies) are not favored at the expense of any ClariVest client.

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Not Completed)


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