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NewAlpha Asset Management

PRI reporting framework 2020

You are in Indirect – Manager Selection, Appointment and Monitoring » Outputs and outcomes


SAM 08. Percentage of externally managed assets managed by PRI signatories (Private)

SAM 09. Examples of ESG issues in selection, appointment and monitoring processes

09.1. 報告年度において、運用会社の選定、指名やモニタリングプロセスの過程で、ESG問題がどのように対処されているかを示す事例を挙げてください。

          Governance issue: lack of transparency regarding alignment of interests and potential conflict of interests

In 2019, we analyzed a potential investment in a fund managed by a Frankfurt-based asset manager. During the selection process, we identified a red flag. They stated they don’t have a voting policy and no willingness to exercise their voting rights, as they consider themselves too small as an emerging manager.

This practice is not being aligned with ours and proved to be blocking during the Due Diligence.


NewAlpha decided not to invest in the firm.

09.2. 補足情報 [任意]