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Carthona Capital

PRI reporting framework 2020

You are in Strategy and Governance » Investment policy


SG 01. RI policy and coverage


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。


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。

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. 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]

01.6. 補足情報 [任意]


SG 01 CC. Climate risk (Private)

SG 02. Publicly available RI policy or guidance documents


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。

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。

02.3. 補足情報 [任意]

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。

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. 補足情報 [任意]

SG 04. Identifying incidents occurring within portfolios (Private)