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NEI Investments

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:

その他の説明 (1) Public policy approach. Public policy includes engaging with regulators, governments as well as standards setters.

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。

Our ESG Investing Program is based on the thesis that companies integrating best environmental, social and governance (ESG) practices into their strategies and operations will build long-term sustainable value for all stakeholders and provide higher risk-adjusted returns to shareholders. The program incorporates the following elements:

• Evaluation of sectors and companies for material ESG risks.

• Corporate engagement on ESG issues with companies in our funds.

• Proxy voting based on ESG guidelines.

• Public policy and standards work to mitigate systemic ESG risks.

• Research on emerging ESG issues.

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。







Other description (1) Public policy approach. Public policy includes engaging with regulators, governments as well as standards setters.


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。

Our conflicts of interest policy describes situations in which a conflict of interest may exist and sets out procedures and requirements related to, among other things, disclosure, prohibited activities, resolution of conflicts of interest and consequences of unresolved conflicts. As well, members of the asset management team that are considered "access persons" (which includes all of the ESG team) must register their personal investments in individual equities with the compliance team and must run all new purchases through compliance before making them.

03.3. 補足情報 [任意]

SG 04. Identifying incidents occurring within portfolios

04.1. 組織では、投資先企業において発生するインシデントの特定と管理を行うプロセスを設定しているかどうか明示して下さい。

04.2. インシデントを管理するプロセスを説明して下さい

NEI has a comprehensive process for monitoring portfolio companies. All portfolio companies are monitored for Headline Risk through news and ESG controversies services. As part of this process, the NEI ESG Services Team identifies, evaluates and monitors stories that are published in credible media sources and portray a company in a negative manner. Observed Headline Risks are categorized for type and severity, and required actions are determined.

In cases where an incident identified falls outside the range of issues normally captured by a company evaluation and is not being addressed by our Corporate Engagement Program, a Management Breach Investigation may be conducted. We define a Management Breach as a significant transgression of management ethics or a situation indicating a corporate culture that is inconsistent with our responsible investment thesis. While a Headline Risk report records and assesses controversial or negative media coverage about a company, the Management Breach process examines the fundamentals of an incident to determine if a company has violated our Baseline Expectations. A Management Breach determination results in one of three potential outcomes: enhanced monitoring, engagement or divestment.

In addition, we have developed and implemented an internal due diligence process to ensure that our investment processes comply with the OECD's guidance on Responsible Business Conduct for Institutional Investors, which outlines the expectations for investors in regard to undertaking proper due diligence related to the OECD Guidelines for Multinational Enterprises. This process applies to all screened and non-screened portfolios. A particular concern for us is to ensure that none of our portfolio companies are engaging in any activities that cause or contribute to negative human rights impacts.