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Wellington Management Company LLP

PRI reporting framework 2020

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Confidence building measures

CM1 01. Assurance, verification, or review

01.1. Indicate whether the reported information you have provided for your PRI Transparency Report this year has undergone:

01.2. Additional information [OPTIONAL]

          External Audit
Wellington Management’s 2018 Compliance Program assessment relied, in part, on the third-party examinations performed by PwC. Wellington Management engaged PwC to perform the following third-party control examinations:
•	Report on Wellington Management’s Description of Its Investment Adviser System and on the Suitability of the Design and Operating Effectiveness of Controls prepared pursuant to Attestation Standard AT-C section 320 and International Standard on Assurance Engagements 3402 (SOC 1 Report).
•	Report on Management’s Assertion for Specified Compliance Controls (Compliance Controls Report).
        

CM1 02. Assurance of last year`s PRI data

02.1. We undertook third party assurance on last year’s PRI Transparency Report

02.3. Additional information [OPTIONAL]

          
        

CM1 03. Other confidence building measures

03.1. We undertake confidence building measures that are unspecific to the data contained in our PRI Transparency Report:

          We’ve vetted our impact measuring process with several reputable organizations, including GIIN and the Impact Management Project (IMP), through ongoing dialogue with representatives.
        

03.5. Additional information [OPTIONAL]

          
        

CM1 04. Assurance of this year`s PRI data

04.1. Do you plan to conduct third party assurance of this year`s PRI Transparency report?

04.3. Additional information [OPTIONAL]

          
        

CM1 05. External assurance

05.1. Provide details related to the third party assurance over selected responses from this year’s PRI Transparency Report and/or over data points from other sources that have subsequently been used in your PRI responses this year

What data has been assured

Relevant modules

Who has conducted the assurance

          Wellington Management’s 2019 Compliance Program assessment relied, in part, on the third-party examinations performed by PwC.
        

Assurance standard used

Level of assurance sought

Please provide:

Link to external assurance provider`s report [URL] http://www.wellington.com
Link to original data source (if public) [URL]

Attach a file


05.2. Additional information [OPTIONAL]

          We provide to clients and prospects upon request.
        

CM1 06. Assurance or internal audit (Not Applicable)


CM1 07. Internal verification

07.1. Indicate who has reviewed/verified internally the whole - or selected data of the - PRI Transparency Report . and if this applies to selected data please specify what data was reviewed

Who has conducted the verification

Sign-off or review of responses

07.2. Additional information [OPTIONAL]

          
        

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