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Pendal

PRI reporting framework 2019

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Basic information

OO 01. Signatory category and services

01.1. Select the services and funds you offer

Select the services and funds you offer
% of asset under management (AUM) in ranges
Fund management
Fund of funds, manager of managers, sub-advised products
Other
Total 100%

Further options (may be selected in addition to the above)

01.2. Additional information. [Optional]


OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

Australia

02.2. Indicate the number of countries in which you have offices (including your headquarters).

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

320 FTE

02.4. Additional information. [Optional]

The number of staff quoted above is an approximate number of the equivalent full-time employees involved directly in the investment decision-making process as well as supporting roles in operations, finance, risk & compliance, sales & marketing and human resources across Pendal Group.


OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

03.2. List your subsidiaries that are separate PRI signatories and indicate if you would like to report their RI activities in your organisation’s consolidated report.

Name of PRI signatory subsidiary

(Up to six subsidiaries may be reported)

RI implementation reported here
on a consolidated basis
          J O Hambro Capital Management Group
        
          
        
          
        
          
        
          
        
          
        

03.3. Additional information. [Optional]

Our rationale for reporting our RI implementation on a non-consolidated basis at this point in time is that JOHCM operates as a standalone boutique within Pendal Group. Specifically, Pendal Group and JOHCM have:

- separate boards

- separate policies

- different regulatory regimes

- JOHCM is an equity-only business while Pendal Group is a multi-asset investment manager.

- different jurisdictions

 


OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

31/12/2018

04.2. Indicate your total AUM at the end of your reporting year.

Include the AUM of subsidiaries, but exclude advisory/execution only assets, and exclude the assets of your PRI signatory subsidiaries that you have chosen not to report on in OO 03.2
Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.3. Indicate the total AUM of subsidiaries you have excluded from your report (as named in OO 03.2 under “No”). Provide this as a total figure at the end of your reporting year.

Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.4. Indicate the total assets at the end of your reporting year subject to an execution and/or advisory approach.

Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.5. Additional information. [Optional]


OO 06. How would you like to disclose your asset class mix

06.1. Select how you would like to disclose your asset class mix.

Internally managed (%)
Externally managed (%)

 

Listed equity 10-50% 43.91 <10% 9.88
Fixed income 10-50% 18.53 0 0
Private equity 0 0 0 0
Property 0 0 0 0
Infrastructure 0 0 0 0
Commodities 0 0 0 0
Hedge funds 0 0 <10% 2.03
Fund of hedge funds 0 0 0 0
Forestry 0 0 0 0
Farmland 0 0 0 0
Inclusive finance 0 0 0 0
Cash 10-50% 23.61 0 0
Money market instruments 0 0 0 0
Other (1), specify <10% 2 0 0
Other (2), specify 0 0 0 0

'Other (1)' specified

          Structured
        

06.2. Publish asset class mix as per attached image [Optional].

06.3. Indicate whether your organisation has any off-balance sheet assets [Optional].

06.5. Indicate whether your organisation uses fiduciary managers.

06.6. Provide contextual information on your AUM asset class split. [Optional]


OO 07. Fixed income AUM breakdown

07.1. Provide to the nearest 5% the percentage breakdown of your Fixed Income AUM at the end of your reporting year, using the following categories.

Internally managed
80 SSA
10 Corporate (financial)
10 Corporate (non-financial)
0 Securitised
Total 100%

OO 08. Segregated mandates or pooled funds

New selection options have been added to this indicator. Please review your prefilled responses carefully.
Provide a breakdown of your organisation’s externally managed assets between segregated mandates and pooled funds or investments.
Asset class breakdown
Segregated mandate(s)
Pooled fund(s) or pooled investment(s)

Total of the asset class

(each row adds up to 100%)

[a] Listed equity
100%
[j] Hedge funds
100%

08.2. Additional information. [Optional]


OO 09. Breakdown of AUM by market

09.1. Indicate the breakdown of your organisation’s AUM by market.

50 Developed Markets
40 Emerging Markets
0 Frontier Markets
10 Other Markets
Total 100% 100%

09.2. Additional information. [Optional]

Australian Sustainable Finance Steering Committee: Pendal’s Australian CEO, Richard Brandweiner, was appointed to the Steering Committee for the Australian Sustainable Finance initiative (launched March 2019).

https://www.pendalgroup.com/education-and-resources/pendal-joins-forces-with-financial-sector-leaders-to-steer-australian-economy-through-critical-decade/

https://www.sustainablefinance.org.au/


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