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GQG Partners

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.

GQG seeks to optimize risk-adjusted returns, in part by considering ESG factors into its investment process to (1) understand the sustainability of earnings growth for the companies in which we invest and (2) seek to improve our investment opportunities to create shared value for our clients.

We integrate ESG considerations in our fundamental, bottom-up analysis of potential portfolio companies. We believe earnings drive stock prices and we view ESG shortcomings as a material risk to a company's ability to achieve sustainable earnings over the long-term. As a result, our bottom-up, fundmanetal analysis encompasses non-financial considerations. Issues such as labor relations, corporate culture, environmental responsibility, and overall goodwill are integral to our analysis and are given meaningful weight in our valuation of apotential portfolio company.

As long-term owners of our companies, we recognize the rights and responsibilities that come with equity ownership. Our core objective is to maximize the long-term returns to our investors and we believe that this is best achieved through ownership of companies with long-term sustainable earnings growth. Companies that act in the best interests of their shareholders are companies that have due regard for their other stakeholders.

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.

URL/Attachment

URL/Attachment

URL/Attachment

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, GQG organizes its business acitivities in a way to avoid conflicts of interest. For example, we normally manage the firm's accounting pari passu, and allocate trades on a pro rata basis. 

We disclose material conflicts of interest that we identify in our Form ADV. They include the following: 

  • Personal securities trading by our supervised persons 
  • Side-by-side managment of accounts with performance fees 
  • Our advice and actions may differ among accounts. 
  • Potential conflicts in voting proxies (for instance proxies of firms that are our clients). 
  • Potential incentive to treat accounts in which supervised persons have proprietary interests preferentially. 

We monitor conflicts on an on-going basis. Our Chief Compliance Officer, with the assistance of our General Counsel, conducts periodic assessments of our operational risks and potential conflicts of interests. Reports from these assessments are made available to our Board of Directors. 

03.3. Additional information. [Optional]

Below are further details of how we disclose material conflicts of interest: 

  • Personal securities trading by our supervised persons:  We limit personal securities trading by our employees to purchases in our strategies, broad-based mutual funds/exchange traded funds, and US government securities. Prior approval from our Chief Compliance Officer is obtained before GQG employees or their immediate family members living in the same household can conduct personal securities trading. 
  • Side-by-side management of accounts with performance fees: Our policies and procedures require that we seek fair and equitable trade allocations among all clients, regardless of the type of fees we receive from the clients. 
  • Our advice and actions may differ among accounts:  Our policies and procedures require that we manage accounts in the best interests of our clients and that we seek fair and equitable trade allocations among all clients. 
  • Potential conflicts in voting proxies (for instance proxies of firms that are our clients):  Our portfolio management personnel do not take client relationships into consideration when evaluating companies, and if a material conflict of interest arises, our proxy voting policies address how we would vote proxies. 
  • Potential incentive to treat accounts in which supervised persons have proprietary interests preferentially:  We have adopted procedures for allocation of portfolio transactions across multiple client accounts, including those of our supervised persons, on a fair and equitable basis over time. 

SG 04. Identifying incidents occurring within portfolios (Private)


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