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Swen Capital Partners

PRI reporting framework 2019

You are in Indirect – Manager Selection, Appointment and Monitoring » Monitoring

Monitoring

SAM 05. Monitoring processes (listed equity/fixed income)

05.1. When monitoring managers, indicate which of the following types of responsible investment information your organisation typically reviews and evaluates

ESG objectives linked to investment strategy (with examples)

Evidence on how the ESG incorporation strategy(ies) affected the investment decisions and financial / ESG performance of the portfolio/fund

Compliance with investment restrictions and any controversial investment decisions

ESG portfolio characteristics

How ESG materiality has been evaluated by the manager in the monitored period

Information on any ESG incidents

Metrics on the real economy influence of the investments

PRI Transparency Reports

PRI Assessment Reports

RI-promotion and engagement with the industry to enhance RI implementation

Changes to the oversight and responsibilities of ESG implementation

Other general RI considerations in investment management agreements; specify

None of the above

Private equity
Infrastructure
ESG objectives linked to investment strategy (with examples)
Evidence on how the ESG incorporation strategy(ies) affected the investment decisions and financial / ESG performance of the portfolio/fund
Compliance with investment restrictions and any controversial investment decisions
ESG portfolio characteristics
How ESG materiality has been evaluated by the manager in the monitored period
Information on any ESG incidents
Metrics on the real economy influence of the investments
PRI Transparency Reports
PRI Assessment Reports
RI-promotion and engagement with the industry to enhance RI implementation
Changes to the oversight and responsibilities of ESG implementation
Other general RI considerations in investment management agreements; specify
None of the above

05.2. When monitoring external managers, does your organisation set any of the following to measure compliance/progress

ESG score or assessment

ESG weight

ESG performance minimum threshold

Real world economy targets

Other RI considerations

None of the above

Private equity
Infrastructure
ESG score
ESG weight
ESG performance minimum threshold
Real world economy targets
Other RI considerations
None of the above

If you select any 'Other' option(s), specify

  • Assess if ESG due diligences have been carried out over the period during the acquisition process and the holding period.
  • Monitoring of the ESG roadmap implemented at the level of portfolio companies

05.3. Provide additional information relevant to your organisation's monitoring processes of external managers. [OPTIONAL]

          In the monitoring phase, the management companies' funds that SWEN CP subscribes to are surveyed yearly based on a specific ESG questionnaire. The same applies to the underlying holdings of these funds and  those invested directly. Thus the ESG analysis is ensured on the basis of answers to  “management company”, “participations” and “infrastructure assets” questionnaires completed online, via an ESG data collection and management tool. The reported data enables the implementation of numerous ESG performance indicators that are presented in an aggregated manner in the annual ESG reports of the institutional funds and mandates managed by SWEN Capital Partners.  A follow-up of these indicators is then carried out over time for each stakeholder (management company, funds, underlying funds) and makes it possible to fully assess the management companies’ responsible investor practices  (benchmarking), particularly with regard to proprietary ESG benchmarks. Thanks to a substantial extra-financial database that has accumulated more than 6 years of history, SWEN Capital Partners is able to calculate benchmarks for these same indicators and track them over time. Moreover, committed to build long-term partnership with its general partners, SWEN CP regularly engages in dialogue with them during private meetings, conferences, etc. ESG and responsible investment issues are systematically addressed during these meetings. The main interest is to discuss with the investment team how responsible policies are truly implemented, beyond mere declarations of intent displayed on corporate website / documents. This is also the opportunity to learn about RI future projects which will be rolled out and to identify best practices. These two different approaches (annual survey and on-going dialogue) provide SWEN CP with the essential material not only to prepare detailed ESG reporting to its clients but also to identify improvement areas and topics to be further discussed with its GPs.

In addition, the investment team of SWEN Capital Partners, responsible for the investments made, systematically integrates in its monitoring a particular attention to the material ESG issues and necessary action plans implemented within the companies and financed assets. 
Finally, SWEN Capital Partners has set up a monitoring system for controversies that allows daily reporting of information, most often "extra-financial, on the main positions of portfolios managed and / or advised by SWEN Capital Partners. The objective of this daily monitoring is especially to better manage the reputational risk of the main investments indirectly and directly financed, but also, as a resulting consequence, better manage those of SWEN Capital Partners and its own institutional investors.
        

SAM 06. Monitoring on active ownership (listed equity/fixed income) (Not Applicable)


SAM 07. Percentage of (proxy) votes (Not Applicable)


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