This report shows public data only. Is this your organisation? If so, login here to view your full report.

Carthona Capital

PRI reporting framework 2020

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.

The principles are:


1. We will incorporate ESG issues into investment analysis and decision-making processes;

2. We will be active owners and incorporate ESG issues into our ownership policies and practices;

3. We will seek appropriate disclosure on ESG issues by the entities in which we invest;

4. We will promote acceptance and implementation of the Principles within the investment industry;

5. We will work together to enhance our effectiveness in implementing the Principles; and

6. We will each report on our activities and progress towards implementing the Principles.

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].


SG 01 CC. Climate risk (Private)

SG 02. Publicly available RI policy or guidance documents


02.1. Indicate which of your investment policy documents (if any) are publicly available. Provide a URL and an attachment of the document.

02.2. Indicate if any of your investment policy components are publicly available. Provide URL and an attachment of the document.

02.3. Additional information [Optional].

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.

To control conflicts of interest Carthona Capital has:

·          identified the conflicts of interest relating to its business;

·          assessed and evaluated those conflicts; and

·          decided upon, and implemented, an appropriate response to those conflicts.

Conflict management arrangements will be regularly monitored i.e. the Directors (or their delegate), as part of the Compliance Monitoring Program and/or as the business changes, will regularly review Carthona Capital’s conflicts management arrangements to ensure that they continue to be appropriate.

In addition, from time to time at the discretion of the Compliance Committee, an external service provider will undertake a review of compliance procedures and measures. As part of this review, the conflicts management arrangements will also be reviewed to confirm they are adequate to identify, assess, evaluate and successfully control conflicts of interest.

Carthona Capital has a detailed policy for managing conflicts and all conflicts of interests in the investment process are dealt with the investment policy. . 

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios (Private)