Public HTML RI reports - PRI reporting framework 2020

ISATIS Capital

PRI reporting framework 2020

Basic information [OO 01 - 09] Asset class implementation gateway indicators [OO 10 - 12] Peering questions [OO LE 01 - HF 01]

Strategy and Governance

Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Outsourcing to fiduciary managers and investment consultants [SG 12] ESG issues in asset allocation [SG 13 - 15] Innovation [SG 18] Communication [SG 19]

Direct – Private Equity

Overview [PE 01 - 02] Fundraising of private equity funds [PE 03 - 04] Pre-investment (selection) [PE 05 - 08] Post-investment (monitoring) [PE 09 - 13] Outputs and outcomes [PE 14 - 15] Communication [PE 16]

Confidence building measures

Confidence building measures [CM1 01 - 07]

Export Public Responses

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.

Yes

01.2. Indicate the components/types and coverage of your policy.

Select all that apply

Policy components/types	Coverage by AUM
Policy setting out your overall approach Formalised guidelines on environmental factors Formalised guidelines on social factors Formalised guidelines on corporate governance factors Fiduciary (or equivalent) duties Asset class-specific RI guidelines Sector specific RI guidelines Screening / exclusions policy Other, specify (1) Other, specify(2)	Applicable policies cover all AUM Applicable policies cover a majority of AUM Applicable policies cover a minority of AUM

01.3. Indicate if the investment policy covers any of the following

Your organisation’s definition of ESG and/or responsible investment and it’s relation to investments

Your investment objectives that take ESG factors/real economy influence into account

Time horizon of your investment

Governance structure of organisational ESG responsibilities

ESG incorporation approaches

Active ownership approaches

Reporting

Climate change

Understanding and incorporating client / beneficiary sustainability preferences

Other RI considerations, specify (1)

Other RI considerations, specify (2)

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.

ISATIS Capital is a specialist in growth financing in France and specifically invests in growing, profitable, innovative and exporting SMEs. Indeed, by financing the real economy, we contribute to sustainable value creation socially, environmentally and financially. Our investment philosophy is based on the conviction that we cannot ignore the ESG issues that are essential in creating sustainable value and performance for the companies in which we invest. Furthermore, our objective is to offer our institutional clients high-performance, high-quality investment products and avoid any reputational risks related to these investments.

To do this, we consider the PRI's principles as a roadmap and we have formalized an "ESG Policy" with indicators encompassing the environment, the social and the governance. A "Charter ESG" has been published on our website.

The integration of ESG is important from the beginning to the exit of the investment process (First contact, Due diligence, follow up during the investment, measurement of the progress)
Exclusion of sectors which have negative environmental and healthy impacts on people and planet
Transparency: Reporting on ESG issues about our investments on a yearly basis
Support role of ISATIS Capital with the management of the companies to improve their CSR.

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.

Policy setting out your overall approach

URL/Attachment

URL

URL https://isatis-capital.fr/wp-content/uploads/2019/03/Politique-ESG.pdf

Attachment (will be made public)

Screening / exclusions policy

URL/Attachment

URL

URL https://isatis-capital.fr/wp-content/uploads/2019/03/2014-07-28-Charte-ESG.pdf

Attachment (will be made public)

We do not publicly disclose our investment policy documents

02.2. Indicate if any of your investment policy components are publicly available. Provide URL and an attachment of the document.

Your organisation’s definition of ESG and/or responsible investment and it’s relation to investments

ESG incorporation approaches

Active ownership approaches

Reporting

URL/Attachment

URL

URL https://isatis-capital.fr/wp-content/uploads/2019/12/2019-Rapport-ESG.pdf

Attachment

Understanding and incorporating client / beneficiary sustainability preferences

We do not publicly disclose any investment policy components

02.3. Additional information [Optional].

The PRI reporting is published on our website: https://isatis-capital.fr/wp-content/uploads/2019/05/Public_Transparency_Report_ISATIS-Capital_2019.pdf

SG 03. Conflicts of interest

03.1. Indicate if your organisation has a policy on managing potential conflicts of interest in the investment process.

Yes

03.2. Describe your policy on managing potential conflicts of interest in the investment process.

The conflict of interest policy specifies two main principles:

ISATIS Capital authorized itself, depending on the conflict of interest situations to:

carry out the operation to the extent that the organisation appropriately manages the potential conflict of interest situation.
inform the client in the case that some conflicts of interest may remain and provide necessary document to the client on the origin and nature of the conflicts of interest.

2.ISATIS Capital has set up an internal organisation to:

prevent emergence of conflict of interest by:

- implementation of an internal control system

- separation of functions that may generate potential conflicts of interest

ensure that the investment product is in line with the client's expectations and with what ISATIS Capital has presented.
prohibition of any personal financial transaction by the employees which would be in breach with the rules set up by ISATIS Capital. Co-Investment by employees is prohibited.

The prevention of conflicts of interest is compiled through a set of documents, procedures and control: code of Ethics, operating charter, mapping of conflict of interest, conflict of interest management policy, procedure for preventing and managing conflict of interest,

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios (Private)

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