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Galliard Capital Management, LLC

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。

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. 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。

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in the annual review of conflicts and risks to discuss anything potentially new or changing as well as anything no longer applicable.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. 補足情報 [任意]

SG 04. Identifying incidents occurring within portfolios (Private)