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RBC Global Asset Management

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]

RBC Global Asset Management (RBC GAM)* is a global asset manager that provides a comprehensive range of investment management services and solutions to individual, high-net-worth and institutional investors through mutual funds, exchange-traded funds, hedge funds and pooled funds, separate accounts and specialty investment strategies.

Each of our 23 investment teams located in the United States, Canada, Europe and Asia share a common philosophy rooted in the pursuit of deep fundamental knowledge and the need to innovate in rapidly changing financial markets. We recognize the advantages of integrating advanced investment tools into our investment process to encourage rigor and efficiency, while minimizing the threats posed by behavioural bias. Our teams create value through their own specialized disciplines and unique processes, while being individually accountable for their results. Our culture demands excellence and innovation in investment and risk management, while always ensuring that our clients' interests are central to every decision we make.

In regard to hedge funds, and our response to indicator OO 01.1, RBC GAM offers a broad selection of alternative strategies to Canadian investors, including Market Neutral and Absolute Return strategies.

BlueBay Asset Management LLP also offers a selection of alternative strategies.

* In this report, references to “RBC GAM”, “we”, and “us” include the following unless specifically indicated: RBC Global Asset Management Inc. (including Phillips, Hager & North Investment Management), RBC Global Asset Management (U.S.) Inc., RBC Global Asset Management (UK) Limited, BlueBay Asset Management LLP (BlueBay) and RBC Investment Management (Asia) Limited.


OO 02. Headquarters and operational countries

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

Canada

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).

1489 FTE

02.4. Additional information. [Optional]


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
          BlueBay Asset Management LLP
        
          
        
          
        
          
        
          
        
          
        

03.3. Additional information. [Optional]

In addition to BlueBay Asset Management LLP's (BlueBay) activities being included in this report, BlueBay has also filed a separate RI transparency report as a signatory to the PRI.

BlueBay is a wholly-owned subsidiary of RBC and BlueBay may be considered to be related and/or connected to RBC and its other affiliates.


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

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

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% 31 <10% 2
Fixed income >50% 60 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 <10% 1 0 0
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 0 0 0 0
Money market instruments <10% 5 0 0
Other (1), specify <10% 1 0 0
Other (2), specify 0 0 0 0

'Other (1)' specified

          
        

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
60 SSA
15 Corporate (financial)
25 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%

08.2. Additional information. [Optional]


OO 09. Breakdown of AUM by market

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

96.5 Developed Markets
3.25 Emerging Markets
0.25 Frontier Markets
0 Other Markets
Total 100% 100%

09.2. Additional information. [Optional]

Values for OO 09.1 rounded to closest 0.25% increment.


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