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Abbott Capital Management, 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。

Abbott Capital was founded on the principle that long-term continuity and accountability are essential to constructing and managing high quality private equity portfolios. 

Abbott has long believed that a private equity manager should be subject to high standards for governance and transparency, which help inform our core values:

  • Client-centricity
    • We apply a fiduciary mind-set to ensure that everything we do, every day, is ultimately about delivering a better solution or outcome for our clients.
  • Integrity

    • We aim to recruit, mentor, develop and retain professionals who display the highest level of professional and personal integrity.

  • Intellectual Honesty

    • We challenge ourselves to find the best ideas for our clients; we encourage open dialogue, apply critical thinking, and rely on unbiased research and analysis.

  • Diversity

    • We believe that our business is stronger when it includes different perspectives, work experiences, and educational backgrounds, and we strive to maintain a firm that represents that diversity.

  • Collaboration

    • We feel most engaged in a collegial and cooperative work environment where each of us displays the highest standards of professionalism and respect.

We believe that these values are best understood by our investors, in a relationship that is open and transparent, and works to fulfil each investor’s objectives.

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]

ESG risks and opportunities are integrated into our investment process and client portfolios.  Abbott’s investment philosophy is grounded in a fundamental, bottom up approach that seeks to understand the future performance potential for each investment opportunity, based on a detailed evaluation of the general partner’s team, key value drivers, demonstrated ability to deliver attractive returns in a variety of market environments, and clarity and feasibility of investment strategy.

As previously noted, Abbott reviews general partners' ESG factors when monitoring active funds, and when evaluating new investment opportunities, as part of its investment approach and process. Under its ESG approach, Abbott, where consistent with its fiduciary duty to its clients, undertakes the following activities when evaluating a manager:

  1. Consider the manager's commitment to identifying and assessing SRI/ESG related risks and opportunities
  2. Assess the resources available to a manager when seeking to integrate SRI/ESG into their investment process
  3. Determine whether a manager's policies require it to seek to use government structures that provide for appropriate levels of oversight in the areas of audit, risk management and when conflicts arise

Abbott monitors the actions of its general partners by attending their annual meetings and where possible, obtaining advisory board seats. Abbott may review several ESG factors when monitoring general partners, including, but not limited to:

  • Investment restrictions and any controversial investment decisions
  • ESG portfolio characteristics
  • Information on any ESG incidents
  • Discussion points related to ESG policies as they arise

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。

It is Abbott's policy to take reasonable steps to prevent conflicts of interest constituting or giving rise to material risk of damage to the interest of its clients.  In cases where these steps are not sufficient to ensure, with reasonable confidence, that risk of damage to the client's interests will be sufficiently mitigated, Abbott Capital will disclose the nature and source of the conflict to the client before undertaking business for that client.

03.3. 補足情報 [任意]

SG 04. Identifying incidents occurring within portfolios (Private)