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Galliard Capital Management, Inc.

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.

We believe the role of fixed income is to generate income while providing safety of principal. Galliard’s fixed income portfolios are managed with a conservative approach. We maintain high quality and broad diversification through a disciplined value investing process with an emphasis on risk control. We recognize that Environmental, Social, and Governance (ESG) factors are often financially material risks, and believe that understanding and integrating these risks into our analysis is part of Galliard’s fiduciary duty to our clients: riskier issuers, related to ESG factors and otherwise, have lower weights in our portfolios.

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.

Galliard’s compliance team conducts a risk assessment and maintains an inventory of potential conflicts of interest, both of which are updated annually. Members of the Compliance Committee participate in the annual review of conflicts and risks to discuss anything potentially new or changing as well as anything no longer applicable. Conflicts of interest and risks are mapped to applicable compliance policies or other controls that are designed to mitigate potential issues as well as to confirm that potential conflicts and risks are appropriately disclosed in the applicable disclosure materials.

In addition, Galliard employees are subject to Galliard’s Code of Ethics and other conduct policies which have certain requirements which are designed to prevent conflicts of interest.  Examples include, but not limited to, pre-clearance and/or quarterly and annual reporting of applicable personal trading, outside business activities, gifts and business entertainment give and/or received and political contributions.

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios (Private)