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DDJ Capital Management, LLC

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

          Chief Compliance Officer

Other description (1)

          Senior Compliance Analyst

Other description (2)

          Portfolio Specialist

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

DDJ's management operating committee, which is responsible for overseeing the firm's operations, has tasked the DDJ investment review committee, with input from cross-functional groups, as the internal body responsible for monitoring and reviewing ESG processes, ESG exposures and the scoring of portfolio investments. Such committee comprises five senior members of DDJ's investment team, including each of its portfolio managers, and provides a structured forum to discuss existing holdings, industry news, trends, new investment ideas, and portfolio level risk exposures.

On a quarterly basis, the investment review committee evaluates ESG factors in connection with the top-down risk reports that are produced by the DDJ performance team. Such review covers broad ESG topics, such as ESG coverage and ratings trends, or specific topics, such as carbon intensity.

Finally, DDJ has established an internal ESG working group, which is a cross-functional group tasked with formulating ESG policies, procedures and goals, and working with the third party ESG research provider, and monitoring the quality of data and analysis of the data provided by such third party ESG vendor.

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

0 Number

07.4. Additional information. [Optional]

Not Applicable 

SG 07 CC. Climate-issues roles and responsibilities (Private)

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