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Cape Ann Asset Management Limited

PRI reporting framework 2020

You are in Strategy and Governance » Governance and human resources

Governance and human resources

SG 07. RI roles and responsibilities

07.1. Indicate the internal and/or external roles used by your organisation, and indicate for each whether they have oversight and/or implementation responsibilities for responsible investment.

Roles

Select from the below internal roles

          Chief Operating Officer
        

07.2. For the roles for which you have RI oversight/accountability or implementation responsibilities, indicate how you execute these responsibilities.

Board: The Board receives periodic internal monitoring reviews of the investment process which, inter alia, address Cape Ann's adherence to its ESG Policy.

Chief Executive Officer (Chief Investment Officer): Sits on the Board and is also an active member of Cape Ann's investment management team.  The CIO writes research reports which ordinarily include the identification of ESG issues for all companies reviewed under Cape Ann's investment research process.  As an active investment manager, the CIO is also involved in the final portfolio implementation decision.

Chief Operating Officer: Sits on the Board and is responsible for the oversight and management of Cape Ann's operational staff, including those operational staff referenced below who record, consolidate and report on Cape Ann's responsible investment activity. The COO is also responsible for reviewing and approving Cape Ann's monitoring reviews.

Portfolio Managers (Investment Managers): Cape Ann's investment managers write research reports which ordinarily include the identification of ESG issues for all companies reviewed under Cape Ann's investment research process.  The investment managers all contribute to the final portfolio implementation decision.

Investment Analyst: Cape Ann's investment analyst writes research reports which ordinarily include the identification of ESG issues for all companies reviewed under Cape Ann's investment research process.  

Operational: Recording and consolidation of data and information for internal reporting.  Obtaining ESG reports for each security considered for inclusion in the portfolio and disseminating these reports to the investment management team, and providing periodic updates to these reports when the underlying information changes.

07.3. Indicate the number of dedicated responsible investment staff your organisation has.

0 Number

07.4. Additional information. [Optional]

Cape Ann's investment team consists of 7 individuals and no individual is dedicated solely to responsible investment or ESG issues.  Cape Ann's investment managers are generalists and ESG factors are considered as part of the research and portfolio implementation process.


SG 07 CC. Climate-issues roles and responsibilities (Private)


SG 08. RI in performance management, reward and/or personal development (Private)


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