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SVM Asset Management Limited

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.

Our top priority is to do our best for our clients, by maximising their portfolio returns and protecting their interests, whilst also driving benefit for society. To select investments we employ a consistent and disciplined approach that focuses on intensive bottom up research. As part of our investment process we assess many factors including ESG considerations for their potential to materially affect a company’s performance.

As a boutique investment firm we recognise that, because in most cases we will not hold significant positions in investee companies, it can be difficult to encourage changes in management attitudes and behaviour purely by exercising client voting powers alone. Instead, we have adopted a more flexible approach and we engage with company management and boards as and when we believe it will be of most benefit.

Using information derived from a combination of in-house research, dialogue with the company and external sources we identify the key issues and discuss them directly with company management, in order to affect change.

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]

There is one exception to our policy whereby a segregated client has opted for their own custodian to vote on their behalf.

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.

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

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.

SVM believes that it manages conflicts of interest effectively.  As an investment boutique with a focus on equity management, this reduces the diversity of client mandates and potential for conflicts between clients.  The primacy of client interests is deeply embedded in SVM’s corporate culture, with the firm being led by a Board of investment professionals.  All the investment team are members of professional bodies with high ethical standards and codes that reflect the importance of serving client interests and good stewardship.  The strong culture, active review by senior management, Conflicts of Interest Committee and the SVM Board are all reasons why SVM believes it has effective management and controls in relation to conflicts of interest.

A record will be kept of any conflicts identified, along with the action taken.  If a conflict cannot be removed, it is important that it is adequately managed with ongoing controls and review.  Where clients need to make an informed decision about a conflict, they will be advised as soon as practicable.

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios (Private)