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StockRate Asset Management

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:

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。

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. 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。






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。

03.3. 補足情報 [任意]

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)