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EARNEST Partners

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.

At EARNEST Partners, we believe ourselves to be long-term stewards of our clients’ capital.  This philosophy leads us to focus on the long-term prospects for the assets in which we invest.  Because a company’s sustainability performance can impact its ability to create long-term value for investors, responsible and impactful investing is integrated into our investment approach alongside financial and other relevant investment considerations.

Our Investment Team employs a rigorous fundamental analysis of each company considered for investment, which includes identifying and considering various ESG-focused factors.  We believe that sustainable, long-term investing extends beyond the evaluation of quantitative factors and traditional fundamental review of conventional financial metrics, which results in impactful investing being a natural derivative of our quality-oriented fundamental research and risk management.

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]

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

URL/Attachment

02.2. Indicate if any of your investment policy components are publicly available. Provide URL and an attachment of the document.

URL/Attachment

URL/Attachment

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.

In order to minimize conflicts, potential conflicts, or the appearance of conflicts, Adviser has adopted the following:

1. Adviser’s only business line is providing investment advisory services.

2. Gifts, Entertainment, and Sponsorships Policy to address conflicts related to providing and receiving gifts and entertainment.

3. Code of Ethics and Insider Trading Policy to address conflicts related proprietary trading of Adviser and personal trading activities of supervised persons.

4. Proxy Voting Policy to address conflicts related to the voting of proxies by Adviser on behalf of clients.

5. Allocation of Investment Opportunities and Aggregated Trades Policy to prevent any client from being systematically favored over any other client in: (a) the allocation of investment opportunities, or (b) the allocation of aggregated trades

6. Soft Dollar and Best Execution Policies to address conflicts related to the use of client brokerage.

7. Pay-to-Play Restrictions – Political Contributions Policy to address conflicts related to the giving of political contributions.

8. Adviser does not engage in the following activities which involve actual or potential conflicts of interest:
(a) portfolio pumping,
(b) window dressing,
(c) use of affiliated brokers,
(d) directing brokerage other than at clients’ request,  and (e) agency cross transactions.

03.3. Additional information. [Optional]


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


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