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Optimum Asset Management Inc

PRI reporting framework 2020

You are in Strategy and Governance » Investment policy

投資ポリシー

SG 01. RI policy and coverage

この指標には新しい設問が追加されています。事前に入力されている回答を精査してください。

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。

当てはまるものをすべて選択してください。
ポリシーの構成要素/種類
AUMの対象範囲

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。

Optimum Asset Management is actively committed to maximizing its clients' long-term returns while protecting their capital. To do so, we apply a high-tech, disciplined management approach based on thorough analysis of securities and issuers, well-defined risk management and sound investment selection. ESG factors are considered in the overall investment strategy.

The passive approach includes:

  • Exclusion Strategy, with Sector and Norm-based Exclusion Mechanisms
  • Inclusion Strategy, with Best-in-class and ESG Factors Integration Mechanism

The active approach is based on an engagement strategy, which includes:

  • Social Dialogue Mechanism
  • Shareholder Resolution Mechanism
  • Proxy Voting Mechanism
  • Divestment Mechanism

The ESG Committee is in charge of integrating nonfinancial matters related to environmental, social and governance (ESG) factors into the asset management process. As for fixed income investments, the United Nations 17 Sustainable Development Goals (SDGs) are analyzed.

In addition, Optimum Asset Management has established a stringent Code of Ethics and Conduct that places client interests first and to which all employees must adhere. Adherence to the Code is confirmed annually regardless of employees' activities and duties.

Lastly, the Proxy Voting Policy considers ESG factors and real economy impact which has a direct impact on the management of listed equity strategies.

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]

Optimum Asset Management (OAM) adopted its Responsible Investment Policy in May 2019. The policy covers our principles and approach to responsible investment, as well as application and accountability. The policy has an impact on internally managed strategies. Its purpose is to define a framework for and formalize our approach to responsible investment. It specifies that OAM has made a commitment to responsible investment by incorporating environmental, social and governance factors into its investment management process.

OAM’s preferred approach to responsible investment is based on the following considerations: shareholder engagement, incorporation of ESG criteria into investment analysis and decision-making processes, and exclusion of specific securities.

Optimum Asset Management is actively committed to maximizing its clients’ long-term returns while protecting their capital. To do so, we apply a high-tech, disciplined management approach based on thorough analysis of securities and issuers, well-defined risk management and sound investment selection.  

The passive approach includes:

Exclusion Strategy, with Sector and Norm-based Exclusion Mechanisms
Inclusion Strategy, with Best-in-class and ESG Factors Integration Mechanism

The active approach is based on an engagement strategy, which includes:

Social Dialogue Mechanism
Shareholder Resolution Mechanism
Proxy Voting Mechanism
Divestment Mechanism

ESG factors are considered in the overall investment strategy, as are other factors. The ESG Committee is in charge of integrating nonfinancial matters related to environmental, social and governance (ESG) factors into the asset management process. As for fixed income investments, the United Nations 17 Sustainable Development Goals (SDGs) set by the United Nations are analyzed.

In addition, Optimum Asset Management has established a stringent Code of Ethics and Conduct that places client interests first and to which all employees must adhere. Adherence to the Code is confirmed annually regardless of employees' activities and duties.

Furthermore, ESG scores are integrated in our technological front-office system. The quotes are provided by Groupe Investissement Responsable (GIR). This ESG consulting firm provides scores for issuers. Our technology is designed to leverage ESG factors in our quantitative analyses, allowing our management strategies to adhere to responsible investment principles.

GIR is hired to support our investment team and provides Optimum Asset Management with E, S, G and ESG scores for corporate issuers. The scores are compared to each portfolio's benchmark and reviewed by the ESG Committee to ensure better understanding of the data provided. With regards to actively managed portfolios, the United Nations 17 Sustainable Development Goals (SDGs) were integrated, and are now followed.

Lastly, the Proxy Voting Policy (adopted in 2012) considers ESG factors and real economy impact and has a direct impact on the management of listed equity strategies. We use GIR as a proxy-voting entity on behalf of Optimum Asset Management's portfolio managers. As for Canadian equity portfolios, we measure and track their carbon footprint, in order to improve ESG incorporation into our investment decision-making processes.

Optimum Asset Management’s investment policy applies to all portfolios. This policy does not apply to investments in exchange-traded funds (ETFs).

01.6. 補足情報 [任意]

          
        

SG 01 CC. Climate risk (Private)


SG 02. Publicly available RI policy or guidance documents

この指標には新しい設問が追加されています。事前に入力されている回答を精査してください。

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。

Optimum Asset Management takes reasonable measures to detect all significant existing conflicts of interest or those that it reasonably expects to see occur between its employees and clients. With its internal policies and procedures, Optimum Asset Management ensures it is able to identify existing conflicts of interest and prevent those that may occur. 

Measures have been taken to avoid and to monitor conflicts that could cause prejudice to its clients or to the financial markets.

Optimum Asset Management complies with stringent legislative and regulatory rules set by the Autorité des marches financiers (AMF), as well as other rules to further protect its clients’ interests and has established a stringent Code of Ethics and Conduct to which all employees must adhere.

In addition, Optimum Asset Management has specific policies and procedures in place with regard to, among others, execution of orders, personal transactions, segregation of duties, remuneration and record keeping.

03.3. 補足情報 [任意]


SG 04. Identifying incidents occurring within portfolios (Private)


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