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Fisher Investments

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.

Fisher Investments (FI) considers environmental, social and governance (ESG) issues throughout our investment and portfolio construction process. The overall responsibility of implementation and fulfilment of the ESG policy rests with FI’s Investment Policy Committee (IPC). The IPC determines the materiality of the ESG considerations as they pertain to countries, industries or individual stocks with the assistance of FI’s Capital Markets and Securities Analysts.

ESG issues are among many drivers considered by FI’s Capital Markets Analysts and FI’s Investment Policy Committee when developing country, sector and thematic preferences. Governmental influence on public companies, environmental legislation, environmental issues, and market reforms impacting private property, labor and human rights are among multiple ESG factors considered for all of our clients when determining country and sector/industry allocations and shaping an initial prospect list of portfolio positions.

FI’s Securities Analysts perform fundamental analysis. The fundamental research process involves reviewing and evaluating a range of ESG factors with FI’s IPC prior to purchasing a security with the goals of identifying securities benefitting from ESG trends and avoiding those with underappreciated risks. These factors include, but are not limited to, shareholder concentration, corporate stewardship, environmental opportunities & liabilities, and human or labor rights controversies.

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]

We believe ESG investors are best served by an investment process that considers both top-down and bottom-up factors. We believe integrating ESG analysis at the country, sector and stock levels consistent with clients’ investment goals and ESG policies maximizes the likelihood of achieving desired performance and improving environmental and social conditions worldwide. The goal of our responsible investing policy is to identify securities benefitting from ESG trends and avoid those with underappreciated risks. Additionally, we seek to satisfy our clients’ environmentally and socially responsible mandates without compromising our broader market outlook and themes.

01.6. Additional information [Optional].

          
        

SG 01 CC. Climate risk (Not Completed)


SG 02. Publicly available RI policy or guidance documents

New selection options have been added to this indicator. Please review your prefilled responses carefully.

02.1. Indicate which of your investment policy documents (if any) are publicly available. Provide a URL and an attachment of the document.

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

URL/Attachment

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].

Our ESG Policy and Engagement Policy can be found in the "Resources" section following the link to our website. These policies  cover all of the above selections.


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.

Rule 204A-1 under the US Investment Advisers Act of 1940 requires FI to establish, maintain and enforce a written code of ethics that requires all access persons to report, and FI to review, their personal securities transactions and holdings.

FI actively seeks to avoid situations involving potential conflicts of interest by closely monitoring business practices and reminding employees of their fiduciary responsibilities both when they join the firm and through annual compliance training. FI has strict procedures in place to help ensure that its fiduciary responsibility to clients is maintained.

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Private)


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