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Cape Ann Asset Management Limited

PRI reporting framework 2020

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ESG incorporation in actively managed listed equities

Implementation processes

LEI 01. Percentage of each incorporation strategy

01.1. Indicate which ESG incorporation strategy and/or combination of strategies you apply to your actively managed listed equities; and the breakdown of your actively managed listed equities by strategy or combination of strategies.

ESG incorporation strategy (select all that apply)

Percentage of active listed equity to which the strategy is applied — you may estimate +/- 5%
100 %
Total actively managed listed equities 100%

01.2. Describe your organisation’s approach to ESG incorporation and the reasons for choosing the particular strategy/strategies.

Cape Ann considers responsible investment and environmental, social and governance (“ESG”) related issues to be an integral part of its broader qualitative research process and its investment team has developed an ESG Policy to outline its approach which is available on the firm's website.  Cape Ann’s investment process consists of a four stage iterative approach. The first two stages comprise the research process including idea generation through value screens and fundamental analysis. The last two stages encompass portfolio implementation and monitoring. The incorporation of ESG issues into the wider investment process typically takes place at the Quality Assessment stage and then subsequent engagement with portfolio companies, including proxy voting, forms part of Monitoring.


01.3. If assets are managed using a combination of ESG incorporation strategies, briefly describe how these combinations are used. [Optional]

LEI 02. Type of ESG information used in investment decision (Private)

LEI 03. Information from engagement and/or voting used in investment decision-making (Private)

(C) Implementation: Integration of ESG factors

LEI 08. Review ESG issues while researching companies/sectors

08.1. Indicate the proportion of actively managed listed equity portfolios where E, S and G factors are systematically researched as part of your investment analysis.

ESG issues

Proportion impacted by analysis




Corporate Governance

Corporate Governance

08.2. Additional information. [Optional]

LEI 09. Processes to ensure integration is based on robust analysis

09.1. Indicate which processes your organisation uses to ensure ESG integration is based on robust analysis.

09.2. Indicate the proportion of your actively managed listed equity portfolio that is subject to comprehensive ESG research as part your integration strategy.

09.3. Indicate how frequently third party ESG ratings that inform your ESG integration strategy are updated.

09.4. Indicate how frequently you review internal research that builds your ESG integration strategy.

09.5. Describe how ESG information is held and used by your portfolio managers.

09.6. Additional information. [Optional]

Cape Ann uses multiple sources for its ESG data, including MSCI carbon emissions metrics, ESG ratings and five factor screening tools.  The data from these various platforms is made available to all investment managers conducting research via an internal database onto which all stock specific data points are held.  This information can be recalled at any ime during the initial research phase, implementation or monitoring (if the security is selected for the portfolio).

LEI 10. Aspects of analysis ESG information is integrated into (Private)