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SEI Investments Company

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.

Our investment philosophy is based on a custom approach to investment management that applies to all aspects of a diversified portfolio. Our approach transcends the use of a single investment vehicle to embrace a more comprehensive view across strategies, managers and asset classes. We work with our clients to create a strategic asset allocation as the foundation for their portfolio. We then actively manage and monitor their portfolios to capitalize on short-term market inefficiencies, generate excess returns and mitigate risk.

We believe in:

Strategic Asset Allocation: Markets are mostly efficient over extended periods, and investors should avoid market timing by developing a diversified, long-term asset allocation

Opportunistic Investments: Markets can be inefficient in short-term periods and present thematic opportunities in public and private markets

Manager Implementation: Style tilts and strong active manager selection within less efficient asset classes can create better risk-adjusted returns

Use focused, active managers with reduced fees in less efficient asset classes

Access capacity-constrained, high-quality managers in alternatives

Apply ESG evaluation criteria to help meet investment objectives or social goals

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].

Further detail on the above can be found in our Stewardship Code: and also our corporate responsibility statement:

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.

We acknowledge that managers within SEI strategies may be customers of other strategies or have contractual relationships with other SEI Investments Company entities for services. To identify conflicts of interest, we implement a thorough and disciplined manager due diligence process based on rigorous research. These proactive measures allow SEI to reduce potential conflicts of interest while placing our clients’ interests above our own.

Our manager due diligence applies a faceted approach across SEIC’s business operations and units in determining conflicts of interest, including:

  • Corporate structure
  • Control relationships
  • Affiliate relationships
  • Litigation
  • Compliance policies and procedures
  • Trading policies
  • Compensation

It is our policy not to take into consideration business relationships among managers and SEIC entities when determining whether to recommend managers for approval. At the time each manager’s investment sub-advisory agreement is scheduled to be considered for initial approval or renewal, SEI Compliance will identify whether any business relationships between managers and SEIC (or any of its business units) exist.

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios (Private)