This report shows public data only. Is this your organisation? If so, login here to view your full report.


PRI reporting framework 2020

Export Public Responses

You are in Strategy and Governance » Governance and human resources


SG 07. RI roles and responsibilities

07.1. 組織が採用している内部または外部の役割、ならびにそれぞれの責任投資に対する監督責任および実施責任の有無について明示してください。



          Head of Risk & Compliance

07.2. RIの監督/説明責任または実施責任を担う役職について、このような責任をどのように果たすのか記載してください。

RI oversight or responsibilities are accounted for in remuneration metrics (such as RI fund performance or KPIs).

RI has been confirmed by the Group Board as one of the strategic pillars within the Pendal Group strategy.

Roles and responsibilities for RI oversight, accountability and execution of our RI strategy are outlined in the Pendal Australia RI Governance Structure, approved by Pendal Australia CEO in 2018. This governance structure sets out the Group Board's role in overseeing implementation of Pendal's RI strategy, including the incorporation of ESG considerations within the investment decision making process as well as responsibilities for all other roles involved in the oversight and execution of our Responsible Investment Strategy. This covers philosophy and approach, engagement, proxy voting as well as specific ESG issues. In addition, it specifically calls out senior leaders as having a responsibility for establishing an RI culture across the business.

As outlined in the RI Governance Structure, the Pendal Boards have delegated some of their Australian responsibilities (including RI) to the Australian Executive Committee. The Committee is made up of Pendal Australia's senior management including the Chief Executive Officer (CEO), Chief Financial Officer (CFO), Investment Director, Head of Risk & Compliance, Head of Legal, Head of Sales & Marketing, Head of Corporate Development and the Head of Employee Experience.




07.3. 組織にいる専任の責任投資担当者の人数を記載してください。


07.4. 補足情報 [任意]

There roles are:

  • Head of Responsible Investments
  • Responsible Investments Manager
  • Portfolio Manager - Sustainable Equity
  • Portfolio Manager - Sustainable Fixed Income
  • Portfolio Manager - Sustainable Multi-Assets 

And our in-house ESG specialist team, Regnan:

  • Chief Operating Officer, Regnan
  • Head of Research, Regnan
  • Head of Advisory, Regnan
  • Senior Advisor - RI Projects, Regnan
  • Head of Client Services, Regnan
  • Head of Engagement, Regnan
  • 2 x Senior ESG Analysts, Regnan
  • ESG Analyst, Regnan
  • Head of Sales and Distribution 

SG 07 CC. Climate-issues roles and responsibilities

07.5 CC. 気候関連問題について監視、説明責任および/または管理責任をもつ組織の役職を示してください。








07.6 CC. 気候関連の問題の監督/説明責任または実施責任がある取締役会レベルの役職については、これらの責任の遂行方法を説明してください

Climate-related risks and opportunities for our business are considered by the Board within Pendal Group's broader risk management framework. Climate-related investment risk and opportunities are considered within our investment governance processes. These processes include a series of forums dedicated to responsible investment (including ESG integration) and include representatives from investment teams, across all asset classes. This framework is publicly outlined in the 2019 Pendal Group Corporate Sustainability and Responsibility (CSR) Report -

Oversight on climate-related issues also comes through the Pendal Australia RI Governance Structure, approved by Pendal Australia CEO in 2018. This governance structure sets out the board’s role in overseeing implementation of Pendal’s RI strategy, including the incorporation of climate-related considerations within the investment decision making process. As outlined in the RI Governance Structure, the Pendal Boards have delegated some of their Australian responsibilities (including RI) to the Australian Executive Committee. The Committee is made up of Pendal Australia’s senior management including the Chief Executive Officer (CEO), Chief Financial Officer (CFO), Investment Director, Head of Risk & Compliance, Head of Legal, Head of Sales & Marketing, Head of Corporate Development, and the Head of Employee Experience.

07.7 CC. 気候関連の問題を評価し管理する管理レベルの役職については、その構造とプロセスを詳しく説明してください。

The Executive Committee approved Pendal's Responsible Investment Philosophy which, with respect to climate change, commits us to "consider the impacts of risks and opportunities more broadly and across all sectors". Under the governance model investment and corporate teams are required to support implementation of the framework and identify and manage material climate-related risks and opportunities.

Responsible Investments (RI) team is part of the investments arm of the business reporting through the Pendal Australia Investment Director to the Pendal Australia CEO. The RI team’s role is focused on the development and implementation of Pendal Australia’s RI framework and strategy. Key areas of responsibilities include:

• working with investment teams to build upon the strong foundation of ESG integration and active ownership practices. This includes ensuring relevant climate-related information is communicated along the investment chain in order to most effectively leverage the skills and knowledge available across our multi-boutique structure - from company specific issues to market wide themes.

• working with Product and Strategy on RI related product development and innovation including the evolution of existing product and the launch of new climate-aware RI products

• supporting Group Company Secretary & Head of Corporate Governance and Head of Risk & Compliance to develop and implement ESG (including climate / TCFD aligned)-related risk management, measurement and reporting policies and frameworks

• working with Regnan (Pendal’s in-house ESG team) to build out investment team’s RI capabilities and supporting frameworks, including ESG integration, sustainability, impact investing and active ownership.

In addition to the focused RI team, Pendal Australia has established the Responsible Investments Working Group (RI Group) to facilitate knowledge sharing and provide input into RI guidelines, strategy and solutions. The RI Group consists of senior members of the investments (all asset classes) and corporate teams (Risk & Compliance, Legal, Sales and Marketing) and its responsibilities are set out in the Responsible Investments Governance Structure.

 The objective of the RI Group is to oversee the development and application of Pendal Australia’s Responsible Investment (RI) process across offerings and communications to ensure alignment with Pendal Australia’s RI philosophy as well as client expectations and needs.

The RI Group does not replace prior risk management and compliance processes, rather it serves to enhance the existing controls already in place. Our RI Group meets at least quarterly and more frequently if required. The RI Group sets high level annual RI objectives as well as quarterly RI objectives. Specific objectives range from the development and maintenance of Pendal Australia's RI process and products as well as considerations of broader industry trends, standards and practices - with a particular focus on the RI needs of our clients.

Key RI initiatives of the RI Group are shared with the Executive Committee via the Executive Risk & Operations Group which meets on a monthly basis to discuss key risk issues and initiates across the business. 

07.8 CC. TCFDの提言やその実施について、組織が外部運用会社またはサービスプロバイダーに何を求めるかについて説明してください。

SG 08. RI in performance management, reward and/or personal development

08.1. 組織のパフォーマンス管理、報奨や個人の能力開発プロセスに責任投資の要素があるかどうかを記載してください。


08.1b. 個人の能力開発または研修計画における責任投資


08.1a. 目標、評価、査定または報酬における責任投資

08.1b. 個人の能力開発または研修計画における責任投資

その他の最高幹部レベルのスタッフまたは部門長 具体的に記入してください

          Head of Risk & Compliance

08.1a. 目標、評価、査定または報酬における責任投資

08.1b. 個人の能力開発または研修計画における責任投資


08.1a. 目標、評価、査定または報酬における責任投資

08.1b. 個人の能力開発または研修計画における責任投資


08.1a. 目標、評価、査定または報酬における責任投資

08.1b. 個人の能力開発または研修計画における責任投資


08.1a. 目標、評価、査定または報酬における責任投資

08.1b. 個人の能力開発または研修計画における責任投資

08.3. 組織の責任投資に関連したパフォーマンス管理、報奨や個人の能力開発プロセスについて詳細を説明してください。

For portfolio managers: RI is included in objectives, appraisal, reward and training for those responsible for RI strategies.