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Pendal

PRI reporting framework 2019

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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

          Head of Risk & Compliance
        

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

RI oversight or responsibilities are accounted for in remuneration metrics (such as RI fund performance or KPIs). 

RI has been confirmed as one of three strategic pillars within the Pendal strategy.  

Roles and responsibilities for RI oversight, accountability and execution of our RI strategy are outlined in the Pendal Australia RI Governance Structure, approved by Pendal Australia CEO in 2018 and publicly available in our annual reporting. (https://www.pendalgroup.com/wp-content/uploads/2018/11/2018-Corporate-Sustainability-Report-.pdf). This governance structure sets out the board’s role in overseeing implementation of Pendal’s RI strategy, including the incorporation of ESG (climate change) considerations within the investment decision making process as well as responsibilities for all other roles involved in the oversight and execution of our responsible investment strategy. This covers philosophy and approach, engagement, proxy voting as well as specific ESG issues. In addition it specifically calls out senior leaders as having a responsibility for establishing an RI culture across the business.

As outlined in the RI Governance Structure, the Pendal Boards have delegated some of their Australian responsibilities (including RI) to the Australian Executive Committee. The Committee is made up of Pendal Australia’s senior management including the Chief Executive Officer (CEO), Chief Financial Officer (CFO), Head of Investment Services & Program Office, Head of Risk & Compliance, Head of Legal, Head of Sales & Marketing, Head of Corporate Development, the Investment Director and the Head of Human Resources.

 

 

 

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

6 Number

07.4. Additional information. [Optional]

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 (Private)


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.

Board members/Board of trustees

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

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

          Head of Risk & Compliance
        

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.

For portfolio managers: RI is included in objectives, appraisal, reward and training for those responsible for RI strategies.


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