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StockRate Asset Management

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.

In StockRate Asset Management, we have created a mutual fund in collaboration with SDG Lead, a consultancy firm advising global companies on sustainability. This fund is named SDG Invest. SDG Invest actively assesses the potential of companies to deliver strong economic performances while proactively working to address global issues and thereby sustain an environment they can continue to be profitable in. We have a 3-step selection process. Step 1 is the financial selection, which builds on StockRate’s established StockR8 model assessing global large-cap companies on strong earnings history, high financial strength and high economic stability. Step 2 is a negative exclusion, where companies operating in oil, coal, mining, banking, weapon, alcohol, gambling, porno and tobacco industries are excluded from the portfolio with a zero-tolerance approach. Step 3 is where SDG Lead has developed a Sustainability Scorecard to measure companies on sustainability, governance and leadership. Through an established active ownership process we take fiduciary duty and in an annual impact report we measure the impact of the portfolio.

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]

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.

URL/Attachment

URL/Attachment

URL/Attachment

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

URL/Attachment

URL/Attachment

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.

03.3. Additional information. [Optional]

We have a formalised approach to managing potential conflicts of interest in the investment process and which includes client and asset class specific guidelines. The approach is compliant with MiFID II and AIFM for asset management. 


SG 04. Identifying incidents occurring within portfolios (Private)


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