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State Street Global Advisors (SSGA)

PRI reporting framework 2020

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Basic information

OO 01. Signatory category and services

01.1. Select the services and funds you offer

Select the services and funds you offer
% of asset under management (AUM) in ranges
Fund management
Fund of funds, manager of managers, sub-advised products
Other
Total 100%

Further options (may be selected in addition to the above)

01.2. Additional information. [Optional]

Source of AUM:  SSGA as of 31 December 2019.


OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

United States

02.2. Indicate the number of countries in which you have offices (including your headquarters).

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

2259 FTE

02.4. Additional information. [Optional]

Source: SSGA. As of 31 December 2019.


OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

03.3. Additional information. [Optional]


OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

31/12/2019

04.2. Indicate your total AUM at the end of your reporting year.

Include the AUM of subsidiaries, but exclude advisory/execution only assets, and exclude the assets of your PRI signatory subsidiaries that you have chosen not to report on in OO 03.2
Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.4. Indicate the assets which are subject to an execution and/or advisory approach. Provide this figure based on the end of your reporting year

Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.5. Additional information. [Optional]

Assets Under Advisory are assets for which the firm receives an advisory fee, but does not provide continuous and regular supervisory or management services for an account. Since they do not meet the definition of AUM, they are excluded from external and internal reporting. 

Below are listed examples of advisory services:

  • Provide market timing recommendations (i.e., to buy or sell) but have no ongoing management or trading responsibilities;
  • Provide only impersonal investment advice (e.g., market newsletters) to clients;
  • Make an initial asset allocation, without continuous and regular monitoring and reallocation; or
  • Provide advice on an intermittent or periodic basis (such as upon client request), in response to a market request, or on a specific date (e.g., the account is reviewed and adjusted quarterly). Example, target hedge ratios
  • Provide  “model portfolios” to client (client may or may not utilize the model)

Common arrangements associated with advisory services:

  • SSGA is not legally bound to investment management and risk associated with it. No execution risk on SSGA, execution risk is on client
  • Form of compensation:
    • Compensation is based upon the time spent with a client during a client visit and/or
    • Fixed fee is received, not correlated with value of portfolio assets  

 

Source : SSGA AUM Reporting Policy


OO 06. How would you like to disclose your asset class mix

06.1. Select how you would like to disclose your asset class mix.

Internally managed (%)
Externally managed (%)

 

Listed equity >50% 63.87 0 0
Fixed income 10-50% 15.01 0 0
Private equity <10% 0.16 0 0
Property <10% 1.46 0 0
Infrastructure <10% 0.07 0 0
Commodities <10% 0.24 0 0
Hedge funds 0 0 0 0
Fund of hedge funds <10% 0.03 0 0
Forestry 0 0 0 0
Farmland 0 0 0 0
Inclusive finance 0 0 0 0
Cash <10% 6.17 0 0
Money market instruments <10% 4.25 0 0
Other (1), specify <10% 5.07 0 0
Other (2), specify <10% 3.67 0 0

`Other (1)` specified

          Multi-Asset Class Solutions
        

`Other (2)` specified

          Currency, CTA Strategies, Gold
        

06.2. Publish asset class mix as per attached image [Optional].

06.3. Indicate whether your organisation has any off-balance sheet assets [Optional].

06.5. Indicate whether your organisation uses fiduciary managers.

06.6. Provide contextual information on your AUM asset class split. [Optional]

Source: SSGA as of 31 December 2019.


OO 07. Fixed income AUM breakdown

07.1. Provide to the nearest 5% the percentage breakdown of your Fixed Income AUM at the end of your reporting year, using the following categories.

Internally managed
64.3 SSA
8.8 Corporate (financial)
19.0 Corporate (non-financial)
7.9 Securitised
Total 100%

OO 08. Segregated mandates or pooled funds (Not Applicable)


OO 09. Breakdown of AUM by market

09.1. Indicate the breakdown of your organisation’s AUM by market.

54.34 Developed Markets
3.67 Emerging Markets
0 Frontier Markets
41.99 Other Markets
Total 100% 100%

09.2. Additional information. [Optional]


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