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Talaria Asset Management

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.

Our investment philosophy is based on the fact that the volatility of corporate cash flows is far lower than the volatility of share prices. We seek to own stocks offering fundamental value through a disciplined investment strategy and differentiated implementation process.

We invest in equities, entering and exiting stock positions by selling options which provides both income and a buffer against loss. 
On a stand-alone basis, equities and equity options present different strengths and weaknesses. The high, long-term return profile of equities is well appreciated, however the weakness embedded in equities’ return profile is the non-linear, or inconsistent path of delivery. Hence a return profile that reduces volatility should lead to greater compounding of wealth over the long term.

We are a long-term investor and are interested in long-term drivers of economic value for businesses.  We believe there are environmental, social and corporate governance (ESG) related externalities/factors that are not captured in short-term financials and that these may be material in a positive or negative way.  An understanding and management of these factors affecting long-term corporate sustainability is critical to assessing the risks associated with investing in a company, and should therefore be incorporated into fundamental equity research.

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 (Not Completed)

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.

Our Conflict of Interest policy is based on:


The potential for conflicts of interest is minimised as our business is structured in a way that the goals of Wingate and its clients are in alignment.

All clients are treated equally and purchases and sales are carried out on a pro-rata basis. If pro-rata distributions are not possible, it is our policy that related accounts receive less favourable treatment than nonrelated accounts.


All employees must be alert to conflicts of interest, which may arise from:

- Remuneration, fees, or any other pecuniary or non-pecuniary benefits (including, but not limited to soft dollar benefits) 

- The use of non-public information.

- Personal interests which are inconsistent with those of Wingate and/or its clients interests. 

- Competing interests of different client groups, or individual clients.


The policy stipulates that we make adequate disclosure in enough detail to allow clients to make an informed decision about how the conflict may affect the service being provided to them, before making an investment decision.

Monitoring and Audit

We have in place monitoring and auditing arrangements to ensure that any non-compliance with these conflict management arrangements are identified and appropriately acted upon.

03.3. Additional information. [Optional]

We have in place a more detailed policy on managing potential conflicts of interest and are happy to share this document with clients.

SG 04. Identifying incidents occurring within portfolios (Private)