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EARNEST Partners

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。

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. 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]

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。

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. 補足情報 [任意]

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