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First Sentier Investors (including First State Investments)

PRI reporting framework 2020

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Confidence building measures

CM1 01. Assurance, verification, or review

01.1. Indicate whether the reported information you have provided for your PRI Transparency Report this year has undergone:

          Relevant Portfolio Managers sign off of equities, fixed income and infrastructure sections.
        

01.2. Additional information [OPTIONAL]

          We receive independent assurance against our Global Stewardship Principles and the UK Stewardship Code by PwC. The statement of assurance is available to clients on request.
        

CM1 02. Assurance of last year`s PRI data

02.1. We undertook third party assurance on last year’s PRI Transparency Report

02.2. Whole report was assured in last year’s PRI Transparency Report

Who has conducted the assurance

          PwC
        

Assurance standard used

Level of assurance sought

Link to external assurance provider`s report

02.2. Selected data was assured in last year’s PRI Transparency Report

What data has been assured

Specify

          The Principles of the UK Stewardship Code.
        

Relevant modules

02.3. Additional information [OPTIONAL]

          
        

CM1 03. Other confidence building measures

03.1. We undertake confidence building measures that are unspecific to the data contained in our PRI Transparency Report:

03.2. Which scheme?

% of total AUM the scheme applies

% of total AUM the scheme applies

% of total AUM the scheme applies

          The implementation of the Global Stewardship Principles are assured each year by an external provider.
Our unlisted infrastructure assets undertake audits of sustainability reports
        

03.5. Additional information [OPTIONAL]

          
        

CM1 04. Assurance of this year`s PRI data

04.1. Do you plan to conduct third party assurance of this year`s PRI Transparency report?

04.3. Additional information [OPTIONAL]

          We obtain third party assurance on our Global Stewardship Principles and compliance with the UK Stewardship Code which feed into the PRI report.  Copies of the statement of assurance are available on request as we are restricted by PwC's terms from presenting this letter in the public domain.
        

CM1 05. External assurance (Not Applicable)


CM1 06. Assurance or internal audit

06.1. Provide details of the third party assurance of RI related processes, and/or details of the internal audit conducted by internal auditors of RI related processes (that have been reported to the PRI this year)

What RI processes have been assured

Specify

          Global Stewardship Principles
        

Who has conducted the assurance

          PwC provide assurance on our Global Stewardship Principles 
Various providers provide assurance on ISO standards and other ESG factors for infrastructure assets
        

When was the process assurance completed(dd/ mm/yy)

01/09/2019

Assurance standard used

Specify

          ISAE 3000 for Global Stewardship Principles 
For infrastructure various depending on asset type
        

Level of assurance sought

06.2. Additional information [OPTIONAL]

          
        

CM1 07. Internal verification

07.1. Indicate who has reviewed/verified internally the whole - or selected data of the - PRI Transparency Report . and if this applies to selected data please specify what data was reviewed

Who has conducted the verification

Sign-off or review of responses

What data has been verified

Relevant modules

What data has been verified

Relevant modules

What data has been verified

Relevant modules

07.2. Additional information [OPTIONAL]

          
        

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