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Cape Ann Asset Management Limited

PRI reporting framework 2020

You are in Strategy and Governance » Governance and human resources

ガバナンスおよび人事

SG 07. RI roles and responsibilities

07.1. 組織が採用している内部または外部の役割、ならびにそれぞれの責任投資に対する監督責任および実施責任の有無について明示してください。

組織における役職

下記の内部の役割より選択;

          Chief Operating Officer
        

07.2. RIの監督/説明責任または実施責任を担う役職について、このような責任をどのように果たすのか記載してください。

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. 組織にいる専任の責任投資担当者の人数を記載してください。

0

07.4. 補足情報 [任意]

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.


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