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Loomis, Sayles & Company, L.P.

PRI reporting framework 2020

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Confidence building measures

CM1 01. Assurance, verification, or review

01.1. Indicate whether the reported information you have provided for your PRI Transparency Report this year has undergone:

          Internal audit of certain data points is performed by E&Y, a third party, which may constitute "third party assurance".
        

01.2. Additional information [OPTIONAL]

          
        

CM1 02. Assurance of last year`s PRI data

02.1. We undertook third party assurance on last year’s PRI Transparency Report

02.3. Additional information [OPTIONAL]

          
        

CM1 03. Other confidence building measures

03.1. We undertake confidence building measures that are unspecific to the data contained in our PRI Transparency Report:

03.5. Additional information [OPTIONAL]

          
        

CM1 04. Assurance of this year`s PRI data

04.1. Do you plan to conduct third party assurance of this year`s PRI Transparency report?

04.2b. Selected data will be assured

What data will be assured

Specify

          Certain financial data provided within the Transparency Report will be subject to the Company's annual comprehensive audit process conducted by its independent auditor.  In addition, proxy voting procedures will be audited in connection with the Company's annual SOC 1, conducted by an independent audit firm.
        

Relevant modules

04.2a. Provide details related to the assurance that will be conducted

Expected date the assurance will be complete 31/12/2020

Who will conduct the assurance

          PricewaterhouseCoopers is the company's independent auditor.  Ernst & Young conducts the SOC 1 audit.
        

Assurance standard to be used

Specify

          Annual Financial Statements - Auditing standards generally accepted in the USA (GAAP).
SOC 1 - attestation standards established by the American Institute of Certified Public Accountants ( AICPA) and International Standards of Assurance Engagements 3402, Assurance Reports on Controls at a Service Organization issued by the International Auditing and Assurance Standards Board
        

Level of assurance sought

04.3. Additional information [OPTIONAL]

          
        

CM1 05. External assurance (Not Applicable)


CM1 06. Assurance or internal audit

06.1. Provide details of the third party assurance of RI related processes, and/or details of the internal audit conducted by internal auditors of RI related processes (that have been reported to the PRI this year)

What RI processes have been assured

When was the process assurance completed(dd/ mm/yy)

07-11-2019

Assurance standard used

Specify

          SOC1/Service Organization Controls Report - this report covered the period from 01/09/18 through 31/08/19
        

06.2. Additional information [OPTIONAL]

          
        

CM1 07. Internal verification

07.1. Indicate who has reviewed/verified internally the whole - or selected data of the - PRI Transparency Report . and if this applies to selected data please specify what data was reviewed

Who has conducted the verification

Sign-off or review of responses

07.2. Additional information [OPTIONAL]

          On "Investment Teams": The equity teams reviewed the equity modules, specifically for the examples that they provided. The fixed income investment teams reviewed the fixed income modules, specifically for the examples they provided.

On "Compliance Function", the compliance department is responsible for oversight and implementation of all compliance policies discussed in the submission, including proxy voting, error correction and guideline compliance.
        

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