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Portfolio Advisors, LLC

PRI reporting framework 2020

You are in Strategy and Governance » Investment policy


SG 01. RI policy and coverage


01.1. 責任投資アプローチをカバーする投資ポリシーを策定しているかどうかを明示してください。

01.2. ポリシーの構成要素/種類と対象範囲を示してください。


01.3. 投資ポリシーが以下のどの項目をカバーしているか明示して下さい:

01.4. 組織の投資原則および全体の投資戦略、受託者義務(または同等のもの)の解釈、ならびに、ESGファクターおよび実体経済の影響をどのように考慮に入れているかについて説明してください。

Portfolio Advisors will incorporate certain ESG considerations into its due diligence, monitoring, and reporting processes where consistent with its ESG Policy and fiduciary responsibilities. As part of PA's due diligence and investment committee process, PA will take into account ESG factors that may be relevant to a particular general partner's investment strategy, in particular as it may apply to certain industry sectors and/or portfolio companies. For active investments, PA will track broad ESG parameters of underlying funds. Also, PA will monitor general partners it has invested with and promote ESG principles, where applicable.

Portfolio Advisors has been registered with the SEC as an investment adviser since 1994, thus is subject to the rules and regulations set forth in the Investment Advisers Act of 1940. The broad anti-fraud provisions of the Advisers Act impose fiduciary duties on investment advisers, including an affirmative duty of “utmost good faith” to act in the best interest of the client and the duty to “provide full and fair disclosure of all material facts” that may have an impact on an investment adviser’s independence and judgment. PA professionals must act for the benefit of their clients and place their clients' interests before their own. 

01.5. 責任投資アプローチをカバーする組織の投資ポリシーの重要な構成要素、バリエーション、例外事項を簡潔に説明してください。[任意]

Portfolio Advisors’ ESG policy establishes guidelines for integrating ESG factors into the investment process and outlines ESG-related principles that guide investment decision-making.  Portfolio Advisors has incorporated ESG questions and criteria into the Firm’s primary fund due diligence. For example, PA asks general partners, prior to investing in their funds, if they have an ESG policy. Additionally, PA asks general partners to describe the process for identifying and understanding ESG risks and opportunities during due diligence and how potential risks impact the investment decision. PA also asks for examples of potential transactions that the general partner has rejected on ESG grounds (pollution or the use of child labor, for example). Finally, PA also asks general partners to what extent they are working on ESG issues within existing portfolio companies.

01.6. 補足情報 [任意]


SG 01 CC. Climate risk (Private)

SG 02. Publicly available RI policy or guidance documents


02.1. 一般に入手できる組織の投資ポリシー文書を記載してください。その文書のURLを記入し、該当文書を添付してください。

02.2. 一般に入手できる組織の投資ポリシー文書を記載してください。その文書のURLを記入し、該当文書を添付してください。

02.3. 補足情報 [任意]

SG 03. Conflicts of interest

03.1. 組織として、投資プロセスにおける潜在的な利益相反を管理するポリシーを策定しているかどうかについて明示して下さい。

03.2. 投資プロセスにおける潜在的な利益相反を管理するポリシーについて説明してください。

The Firm has a conflicts of interest policy that is not publicly available.

03.3. 補足情報 [任意]

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