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Charles Stanley PLC

PRI reporting framework 2020

You are in Organisational Overview » Basic information

Basic information

OO 01. Signatory category and services

01.1. Select the services and funds you offer

Select the services and funds you offer
% of asset under management (AUM) in ranges
Fund management
Fund of funds, manager of managers, sub-advised products
Other
Total 100%

Further options (may be selected in addition to the above)

01.2. Additional information. [Optional]

Charles Stanley is a client-focused investment management firm offering a genuine personal service across the full range of investment management service including Investment Management, Financial Planning, Asset Management and Charles Stanley Direct, a direct-to-client investment platform.

The core pillar of Charles Stanley was, is and shall remain the provision of investment management services to segregated accounts on behalf of private clients. The Investment Management Services division is the bedrock of the business and we pride ourselves on providing a bespoke service for our clients. In order to provide this truly tailored service that serves the best needs of our clients, we have an autonomous business model which enables our investment managers to have complete independence over investment decisions.

Alongside the investment management business is our Asset Management division. This division provides pooled solutions – including OEICs and model portfolios - to a range of clients, from institutional investors with multi-million pound portfolios to valued retail clients with smaller portfolios. The division also houses Charles Stanley's investment research capability, covering asset allocation, stock selection and collective vehicle selection. As such, the division both enhances our private client investment management business and provides an excellent growth opportunity.

We are a whole-of-market private client firm, offering a broad range of investment services to our clients, who may be invested across a wide range of investments, and in all asset classes open to retail investors. As a consequence, at any one time our clients, in aggregate, may be invested in thousands of different securities. This necessarily reduces the typical aggregate holding size, and thus the scope for direct engagement with the governance of investee companies, and instead favours an approach based on the identification of quality investment opportunities for our clients, and the disposal of investment holdings where there is dissatisfaction with an investment's prospects for growth.

Charles Stanley takes a broad approach when evaluating the merits of an investment. In addition to the traditional financial considerations, we recognise that non-financial factors such as ESG can bear just as much influence on the performance of a company. We will therefore dedicate the necessary resources to engage with investee companies when we believe ESG-related issues may pose a risk to the performance and value of the company in question. Consideration given to governance or ESG issue is provided both centrally as part of the Research function and as part of the bespoke service provided to a client who has expressed an ethical preference to their investment choices.

Any information provided in this report regarding our funds-under-management or voting practices is in relation to discretionary-managed segregated accounts and funds only. Advisory-dealing and execution-only funds have been excluded as the investment decisions will be driven by the client.

 

 


OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

United Kingdom

02.2. Indicate the number of countries in which you have offices (including your headquarters).

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

850 FTE

02.4. Additional information. [Optional]


OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

03.3. Additional information. [Optional]


OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

31/03/2019

04.2. Indicate your total AUM at the end of your reporting year.

Include the AUM of subsidiaries, but exclude advisory/execution only assets, and exclude the assets of your PRI signatory subsidiaries that you have chosen not to report on in OO 03.2
Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.4. Indicate the assets which are subject to an execution and/or advisory approach. Provide this figure based on the end of your reporting year

Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.5. Additional information. [Optional]

Total Assets under Management in section OO 04.2 includes discretionary managed funds only.  The total assets-under-management in section OO 04.4 refers to advisory-managed, advisory-dealing and execution-only funds where we do not have full discretionary control over how client funds are invested.


OO 06. How would you like to disclose your asset class mix

06.1. Select how you would like to disclose your asset class mix.

Internally managed (%)
Externally managed (%)

 

Listed equity 10-50% 38 10-50% 35
Fixed income <10% 3 <10% 8
Private equity <10% 0.1 <10% 0.4
Property <10% 1.4 <10% 1
Infrastructure <10% 0.2 <10% 1.8
Commodities <10% 0.02 <10% 0.08
Hedge funds <10% 0.4 <10% 2.6
Fund of hedge funds 0 0 0 0
Forestry 0 0 0 0
Farmland 0 0 0 0
Inclusive finance 0 0 0 0
Cash <10% 0.05 0 0
Money market instruments 0 0 <10% 0.01
Other (1), specify <10% 7.9 0 0
Other (2), specify 0 0 0 0

`Other (1)` specified

          The balance of AUM that does not fall under the above categories have been moved to 'Other'.
        

06.2. Publish asset class mix as per attached image [Optional].

06.3. Indicate whether your organisation has any off-balance sheet assets [Optional].

06.5. Indicate whether your organisation uses fiduciary managers.

06.6. Provide contextual information on your AUM asset class split. [Optional]


OO 07. Fixed income AUM breakdown (Private)


OO 08. Segregated mandates or pooled funds (Private)


OO 09. Breakdown of AUM by market

09.1. Indicate the breakdown of your organisation’s AUM by market.

25 Developed Markets
25 Emerging Markets
25 Frontier Markets
25 Other Markets
Total 100% 100%

09.2. Additional information. [Optional]

This question has been filled out to move on to the next section as we do not break down our assets by geography and so the answers provided in this section cannot be verified and should therefore not be relied upon as a true reflection of our asset breakdown by market under any circumstance. 


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