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Alphinity Investment Management Limited

PRI reporting framework 2020

You are in Strategy and Governance » Governance and human resources

Governance and human resources

SG 07. RI roles and responsibilities

07.1. Indicate the internal and/or external roles used by your organisation, and indicate for each whether they have oversight and/or implementation responsibilities for responsible investment.


Select from the below internal roles

07.2. For the roles for which you have RI oversight/accountability or implementation responsibilities, indicate how you execute these responsibilities.

All investment staff have the responsibility of assessing investee companies' ESG issues, communicating with companies about how these will be resolved/mitigated/improved, and incorporating the outcome into the financial models that drive the investment process. As a 12-person organisation, Alphinity does not possess the range of hierarchies described above, all staff staff are intimately involved in the portfolios and implementing responsible invetment for our clients. The board has a pure governance role, it does not get directly involved in investment activities but endorses and oversees policies and procedures

Alphinity's Sustainable Share Fund has a governance committee containing two highly-qualified external experts in the field of sustainability to help refine, assess and interpret the very high-level data provided by ESG/Sustainability service providers.

07.3. Indicate the number of dedicated responsible investment staff your organisation has.

0 Number

07.4. Additional information. [Optional]

All portfolio managers and analysts are intimately involved in the implementation of our responsible investment activities. It is not devolved to any one person or group of people. We beieve this provides superior integration and coordination than having a separate group of people trying to exert influence

SG 07 CC. Climate-issues roles and responsibilities

07.5 CC. Indicate the roles in the organisation that have oversight, accountability and/or management responsibilities for climate-related issues.

Board members or trustees

Chief Executive Officer (CEO), Chief Investment Officer (CIO), Chief Risk Officer (CRO), Investment Committee

Portfolio managers

Investment analysts

External managers or service providers

07.6 CC. For board-level roles that have climate-related issue oversight/accountability or implementation responsibilities, indicate how these responsibilities are executed.

The Board consists of two investment staff and two external directors who represent outside equity interests of the firm. It has oversight and accountability but no direct role in climate-related issues - other than the two investment staff who do as part of their operational roles.

The CEO is one of the directors and has ultimate responsibility for climate-related issues as well as a role in applying them to investments.

The PMs also have similar roles for their sectoral responsibilities. There are no Analysts although that section needed to be ticked in order to complete the indicator

The external experts on the Sustainable Share Fund Compliance Committee have an oversight role and, even tough they have no investment responsibilities, are hevily involved in assessing and monitoring climate issues


07.7 CC. For management-level roles that assess and manage climate-related issues, provide further information on the structure and processes involved.

Unlike large/bureaucratic organisations, Alphinity does not have management-level positions. All staff are directly involved in managing investments.

SG 08. RI in performance management, reward and/or personal development (Private)