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Cape Ann Asset Management Limited

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.

Cape Ann is a long only, value investor in developing market equities. Cape Ann’s investment team employs a bottom-up fundamental approach to stock picking using an assessment of intrinsic value. Cape Ann defines value as the discount of a security price to the underlying economic value of the business. The objective is to maximise the intrinsic value of the portfolio over time through a disciplined investment process. Investment managers identify inexpensive stocks through the screening process and then conduct fundamental research to assess the quality of the underlying company. The investment team generally seeks to avoid companies with danger of severe capital loss due to excessive leverage or poor corporate governance. 

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]

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.  Cape Ann also has a Proxy Voting Policy in place.

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].

In addition to the link above, Cape Ann also publishes a summary of its investment process at the following link:

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.

In accordance with Cape Ann’s regulatory requirements it is our policy to identify all potential material conflicts inherent in our business and have adequate systems and controls to avoid or mitigate their impact on clients, including disclosure to clients where appropriate. Cape Ann seeks to outline material conflicts in its Conflicts of Interest Policy.

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios (Private)