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Banco BTG Pactual S.A.

PRI reporting framework 2019

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Organisational Overview
Basic information [OO 01 - 09] Asset class implementation gateway indicators [OO 10 - 12] Peering questions [OO LE 01 - HF 01]
Strategy and Governance
Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Outsourcing to fiduciary managers and investment consultants [SG 12] ESG issues in asset allocation [SG 13 - 15] Asset class implementation not reported in other modules [SG 16 - 17] Innovation [SG 18] Communication [SG 19]
Direct - Listed Equity Incorporation
ESG incorporation in actively managed listed equities [LEI 01 - 10] Implementation processes [LEI 01 - 10] (A) Implementation: Screening [LEI 04 - 06] (C) Implementation: Integration of ESG factors [LEI 08 - 10] ESG incorporation in passively managed listed equities [LEI 11] Outputs and outcomes [LEI 12 - 13]
Direct - Listed Equity Active Ownership
Overview [LEA 01] Engagement [LEA 02 - 08] Outputs and outcomes [LEA 09 - 11] (Proxy) voting and shareholder resolutions [LEA 12 - 21]
Direct – Private Equity
Overview [PE 01 - 02] Fundraising of private equity funds [PE 03 - 04] Pre-investment (selection) [PE 05 - 08] Post-investment (monitoring) [PE 09 - 13] Outputs and outcomes [PE 14 - 15] Communication [PE 16]
Direct - Property
Overview [PR 01] Fundraising of property funds [PR 02 - 03] Pre-investment (selection) [PR 04 - 06] Post-investment (monitoring and active ownership) [PR 08 - 14] Overview [PR 08] Property monitoring and management [PR 09 - 10] Property developments and major renovations [PR 11] Occupier engagement [PR 12 - 13] Outputs and outcomes [PR 15 - 16]
Direct - Infrastructure
Overview [INF 01 - 02] Fundraising of infrastructure funds [INF 03 - 04] Pre-Investment (Selection) [INF 05 - 09] Selection, appointment and monitoring of third-party infrastructure operators [INF 10] Post-investment (monitoring and active ownership) [INF 11 - 16] Overview [INF 11] Infrastructure Monitoring and Operations [INF 12 - 14] Infrastructure Maintenance [INF 15] Stakeholder engagement [INF 16] Outputs and outcomes [INF 17 - 18] Communication [INF 19]
Confidence building measures
Confidence building measures [CM1 01 - 07]
Export Public Responses
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You are in Strategy and Governance » Investment policy

投資ポリシー

SG 01. RI policy and coverage

この指標には新しい設問が追加されています。事前に入力されている回答を精査してください。

01.1. 責任投資アプローチをカバーする投資ポリシーを策定しているかどうかを明示してください。

01.2. ポリシーの構成要素/種類と対象範囲を示してください。

当てはまるものをすべて選択してください。
ポリシーの構成要素/種類
AUMの対象範囲

01.3. 投資ポリシーが以下のどの項目をカバーしているか明示して下さい:

01.4. 組織の投資原則および全体の投資戦略、受託者義務（または同等のもの）の解釈、ならびに、ESGファクターおよび実体経済の影響をどのように考慮に入れているかについて説明してください。

BTG Pactual has a global Environmental, Social and Governance (ESG) Policy applicable to all business units and activities development by the Bank. This Policy set ESG principles and guidance that should be follow by each employee during the decision make process and during daily routine at the Bank.

BTG Pactual has a huge structure of policies concerning others matters, as proxy voting policy, compliance policy, responsible investment policy and a Code of Conducts and Ethics. As example, the responsible investment policy for timberland investments set nine main principles that drives the decision making process in this specific asset strategy, we highlight some of them: 

Strictly comply with environmental, social, health and safety laws, regulations and standards

Strictly comply with anti-corruption and bribery regulations

Promote ESG awareness amongst employees by developing and providing specific training programs and

Report ESG performance with clarity and transparency.  

01.5. 責任投資アプローチをカバーする組織の投資ポリシーの重要な構成要素、バリエーション、例外事項を簡潔に説明してください。[任意]

BTG Pactual’s approach to sustainability is based on an understanding of our responsibility towards our partners, society and the environment as a complete financial service provider.

The main fundamentals behind BTG Pactual ESG approach are: (i) BTG Pactual’s requirement to adopt sustainable social and environmental practices, especially because management recognizes the importance of disseminating ESG practices; (ii) the Brazilian Central Bank’s new regulation on ESG risk management; (iii) the need for an area to provide technical advice on ESG matters, centralizing relevant information and data required by stakeholders as evidence of ESG risk controls; and (iv) the need to appoint ESG spokespersons who are aware of ESG controls, initiatives and activities and can adequately disseminate information to our clients, shareholders, staff members and regulators.

Our ESG Global Policy reflects our long-term ambition and unconditional commitment to responsible and sustainable development. We consistently focus on the long-term implications and results of our actions, prioritizing these long-term benefits over short-term gains, always looking into ESG risks and opportunities. We believe that sound business practices and corporate responsibility are long-term drivers that must be applied daily to create shareholder value through sustainable growth, attractive recurring revenue streams and business perpetuity.

 

01.6. 補足情報 [任意]
下記を読み理解しました 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

この指標には新しい設問が追加されています。事前に入力されている回答を精査してください。

02.1. 一般に入手できる組織の投資ポリシー文書を記載してください。その文書のURLを記入し、該当文書を添付してください。

URL/添付ファイル

URL https://static.btgpactual.com/media/esg-001-global-environmental-social-and-corporate-governance-policy-13-20190319123345.pdf

添付ファイル

esg-001-global-environmental-social-and-corporate-governance-policy-13-20190319123345.pdf

URL/添付ファイル

URL https://static.btgpactual.com/media/esg-001-global-environmental-social-and-corporate-governance-policy-13-20190319123345.pdf

添付ファイル

esg-001-global-environmental-social-and-corporate-governance-policy-13-20190319123345.pdf

URL/添付ファイル

URL https://static.btgpactual.com/media/esg-001-global-environmental-social-and-corporate-governance-policy-13-20190319123345.pdf

添付ファイル

esg-001-global-environmental-social-and-corporate-governance-policy-13-20190319123345.pdf

URL/添付ファイル

URL https://www.btgpactual.com/home_en/pdf/LC%20001%20-%20GLOBAL%20-%20Code%20of%20Business%20Principles%20and%20Ethics%20[2.0].pdf

添付ファイル

LC 001 - GLOBAL - Code of Business Principles and Ethics [2.0].pdf

URL/添付ファイル

URL https://static.btgpactual.com/media/lc-030-brasil-am-direito-de-voto-11.pdf

添付ファイル

lc-030-brasil-am-direito-de-voto-11.pdf

02.2. 一般に入手できる組織の投資ポリシー文書を記載してください。その文書のURLを記入し、該当文書を添付してください。

URL/添付ファイル

URL https://static.btgpactual.com/media/esg-002-global-am-responsible-investment-policy-12-20180816153011.pdf

添付ファイル

URL/添付ファイル

URL https://static.btgpactual.com/media/esg-001-global-environmental-social-and-corporate-governance-policy-13-20190319123345.pdf

添付ファイル

URL/添付ファイル

URL https://www.btgpactual.com/quem-somos/sustentabilidade/governanca-do-risco-esg

URL/添付ファイル

URL https://static.btgpactual.com/media/tig-esg-annual-report-ago18.pdf

添付ファイル

02.3. 補足情報 [任意]

In our website it is possible to find out more information about our Asset Management philosophy and strategies and ESG approach. To know more about it, please refer to: https://www.btgpactual.com/home/asset-management/sobre-asset-do-btg-pactual and https://www.btgpactual.com/quem-somos/sustentabilidade

Also in our Code of Business Principles and Ethics we list all principles that guide our investments decisions and in our vote policy we disclose all criteria used to take a decision in a assembly. To know our Code of Business and Ethics please refer to: https://static.btgpactual.com/media/btg-pactual-codigo-de-principios-de-negocios-e-etica-compliance-ago16-port-20170816142311.pdf

 

 

 

SG 03. Conflicts of interest

03.1. 組織として、投資プロセスにおける潜在的な利益相反を管理するポリシーを策定しているかどうかについて明示して下さい。

03.2. 投資プロセスにおける潜在的な利益相反を管理するポリシーについて説明してください。

BTG Pactual Code of Business Principles and Ethics sets ethical behaviour and professional conduct that must be followed by BTG Pactual partners, employees, interns, consultants, contractors and temporary workers ("Staff") when interacting with each other, with Clients or with counterparties and any other third parties related to our business. Also, our Global Policy on Conflicts of Interests sets out BTG Pactual’s overall approach to ensure the appropriate identification and management of conflicts of interests relating to BTG Pactual and its Clients. Our Global Compliance Manual concentrates on conflicts of interests involving Staff Members. Some of these conflicts are further controlled through specific policies (e.g.: Global Personal Investment Policy; Global Information Barriers Policy; Global Outside Directorship and Other External Functions Policy, etc.). Staff should avoid business conflicts. If the conflict cannot be avoided it should be reported to Senior Management and Compliance, mitigated and, if applicable, disclosed to Clients or other affected parties.

In 2018, BTG Pactual established a new Integrity Program to improve the Group's integrity, transparency and ability to escalate issues. To oversight this program, a new Compliance Committee was implemented and is chaired by Nelson Jobim. The Committee meets monthly and reports to Board of Directors. 

 

03.3. 補足情報 [任意]

BTG Pactual's Code of Business Principles and Ethics sets ethical behaviour and professional conduct that must be followed by BTG Pactual partners, employees, interns, consultants, contractors and temporary workers ("Staff") when interacting with each other, with Clients or with counterparties and any other third parties related to our business.  We are oriented to conduct business on a Client focused maner, which means our mission is to serve Clients in an innovative, cost-effective and transparent manner, understanding their needs, optimizing solutions and establishing long term relationships. This means that in BTG Pactual we "Identify and avoid, or manage, conflicts of interest, always using the utmost transparency. In general, our Clients have priority over BTG Pactual, and BTG Pactual has priority over staff members". We also strive to deliver quality results that exceed expectations effectively taking responsibility for our action, which means that we "Identify, manage and escalate concerns and/or conflicts of interest promptly to management or control functions as appropriate" as established in our Cofe of Business Principles and Ethics. 

Compliance Committee is chaired by Nelson Jobim - graduated in 1968 with a Bachelor in Legal and Social Sciences from the Law School of Universidade Federal do Rio Grande do Sul (Federal University of Rio Grande do Sul). He held other positions as member and President of the Federal Supreme Court (STF), from 1997 to 2006, Minister of Justice, Minister of Defense, President of the National Council of Justice and Minister and President of the Superior Electoral Court. Mr. Jobim acted as a lawyer from 1969 to 1994; from 2006 to 2007; and from 2011 to 2016.

SG 04. Identifying incidents occurring within portfolios (Private)

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