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Mariner Investment Group, LLC.

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.

As a firm, Mariner realizes the importance of socially conscious investing to its investors, as well as to its stakeholders, and believes the only effective way to fully incorporate such beliefs is to integrate them into the Firm’s investment process whenever practicable. Mariner’s approach is one of inclusion.  That is, the Firm believes ESG information and related risk identification can be additive to the investment process, and, as such, does not expect performance to be impeded but, in fact, to be enhanced as a result of the ESG influence. The implementation and integration of ESG analysis does not replace fundamental or technical analysis, but instead may be performed in conjunction with traditional evaluation in order to more fully develop the decision-making process. Mariner funds have adopted the mission of seeking to incorporate environmental, social and governance (ESG) factors into its investment process, where applicable. Mariner’s ESG integration is incorporated across the product spectrum ranging from detailed position-level analysis to the overarching nature of the investments being inherently ESG focused.

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]

Mariner is a global alternative investment management firm founded in 1992 by William J. Michaelcheck, currently managing approximately $10.5 billion in assets. With a notable record of attracting and developing top proprietary trading talent and seasoned investment managers, Mariner's depth and breadth of investing experience allows the Firm to partner with its investors on a wide range of specialized and diversified mandates, and its robust institutional infrastructure is designed to manage and minimize financial, operational, regulatory and compliance related risks. Mariner became a signatory to the United Nations-supported Principles for Responsible Investment (PRI) in August 2013.

As a firm, Mariner realizes the importance of socially conscious investing to its investors, as well as to its stakeholders, and believes the only effective way to fully incorporate such beliefs is to integrate them into the Firm’s investment process whenever practicable. Mariner’s approach is one of inclusion.  That is, the Firm believes ESG information and related risk identification can be additive to the investment process, and, as such, does not expect performance to be impeded but, in fact, to be enhanced as a result of the ESG influence. The implementation and integration of ESG analysis does not replace fundamental or technical analysis, but instead may be performed in conjunction with traditional evaluation in order to more fully develop the decision-making process. Mariner actively invests with an ESG perspective but does not exclude any security or industry. Instead, we seek to understand the ESG-related risks within each of our investment holdings. As part of our risk control, we look for compensated versus uncompensated risks. Furthermore, in conjunction with the evaluation of good governance practices on the companies in which the Firm invests, the majority of Mariner’s offshore funds have a majority independent Board of Directors. Mariner also utilizes Glass Lewis & Co. as a resource for our proxies, to actively vote with environmental, social and governance factors in mind.

 

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.

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].


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.

Mariner has a Conflict of Interest Disclosure and Mitigation Policy and related procedures in an effort to appropriately identify, disclose and otherwise address actual and apparent conflicts of interest that arise during the course of Mariner’s other business activities (e.g. amongst the various business lines)  More specifically, as a relatively large, complex and multi-faceted financial services company that offers an array of advisory and other investment related products and services (e.g., both directly and through its affiliated and otherwise associated entities), Mariner often faces inherent conflicts of interest that require appropriate consideration and specific conflict mitigation controls and related monitoring. 

03.3. Additional information. [Optional]


SG 04. Identifying incidents occurring within portfolios (Not Completed)


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