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Alphinity Investment Management Limited

PRI reporting framework 2020

You are in Direct - Listed Equity Active Ownership » Engagement

Engagement

LEA 02. Reasoning for interaction on ESG issues

Indicate the method of engagement, giving reasons for the interaction.

Type of engagement

Reason for interaction

Individual / Internal staff engagements
Collaborative engagements
Service provider engagements

02.4. Additional information. [Optional]


LEA 03. Process for identifying and prioritising engagement activities

New selection options have been added to this indicator. Please review your prefilled responses carefully.

03.1. Indicate whether your organisation has a formal process for identifying and prioritising engagements.

Indicate the criteria used to identify and prioritise engagements for each type of engagement.
Type of engagement
Criteria used to identify/prioritise engagements
Individual / Internal staff engagements

Individual / Internal staff engagements

Collaborative engagements

Collaborative engagements

03.3. Additional information. [Optional]


LEA 04. Objectives for engagement activities

New selection options have been added to this indicator. Please review your prefilled responses carefully.
Indicate whether you define specific objectives for your organisation’s engagement activities.
Individual / Internal staff engagements
Collaborative engagements

04.2. Additional information. [Optional]


LEA 05. Process for identifying and prioritising collaborative engagement

Indicate whether you monitor and/or review engagement outcomes.
Individual / Internal staff engagements
Collaborative engagements
Indicate whether you do any of the following to monitor and/or review the progress of engagement activities.
Individual / Internal staff engagements
Collaborative engagements

05.3. Additional information. [Optional]

Discreet ESG-related engagements tend to be driven by the Sustainable Share Fund Compliance COmmittee and tend to be directed at companies which are in the portfolio, or those in which we are considering investing.


LEA 06. Role in engagement process

06.1. Indicate whether your organisation has an escalation strategy when engagements are unsuccessful.

06.2. Indicate the escalation strategies used at your organisation following unsuccessful engagements.

06.3. Additional information. [Optional]

Where engagement has been taking place with management, any non-resolution would be escalated to the board. We rarely have issues that are not resolvable at that level but should that happen we are unlikely to stay shareholders in the company involved. We need to be convinced that the companies we are investing in are acting in the best interests of all stakeholders, to the extent possible.


LEA 07. Share insights from engagements with internal/external managers

07.1. Indicate whether insights gained from your organisation`s engagements are shared with investment decision-makers.

Type of engagement

Insights shared

Individual / Internal staff engagements

Collaborative engagements

07.2. Indicate the practices used to ensure that information and insights gained through engagements are shared with investment decision-makers.

          It is the investment decision makers who are generally conducting the engagement.
        

07.3. Indicate whether insights gained from your organisation’s engagements are shared with your clients/beneficiaries.

Type of engagement

Insights shared

Individual/Internal staff engagements

Collaborative engagements

07.4. Additional information. [Optional]

Internal engagement is undertaken by the PM/analyst involved so the only information sharing mechanism required is with the rest of the team is when assessing the issue to benefit from collective wisdom, or for knowledge and mutual learnings after the decision has been made. We systematically advise clients seeking proxy advice of our conclusions so they can use it to assess issues more fully. Collaborative engagements tend to have a formal outcome, but insights are shared where relevant and when it doesn't contravene client confidentiality. Some clients have little interest in engagements.


LEA 08. Tracking number of engagements

08.1. Indicate whether you track the number of your engagement activities.

Type of engagement
Tracking engagements
Individual/Internal staff engagements​

Collaborative engagements

08.2. Additional information. [Optional]

"Engagement" is not an activity separated from investment decisions, it is a core part of our investment process and happens at every point of contact with investee companies.

We do not use service providers to engage, all activity that takes place is either by us individually or as part of a collaboration through PRI/RIAA.


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