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Baker Gilmore & Associates

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.

Baker Gilmore believes that bond issuers with good ESG practices are more viable organizations that provide better returns over the long term. Baker Gilmore also believes that a culture of good governance benefits all stakeholders and that environmental and social responsibilities are derived from good governance.

The firm has a fiduciary responsibility to monitor its clients’ portfolio investments and is committed to ensure that the selected issuers are well managed companies.

As a signatory of the UN PRI, Baker Gilmore’s ESG framework is shaped by the following set of voluntary and aspirational principles (the “Principles”):

Principle 1:

We will incorporate ESG issues into investment analysis and decision-making processes.

Principle 2:

We will be active owners and incorporate ESG issues into our ownership policies and practices.

Principle 3:

We will seek appropriate disclosure on ESG issues by the entities in which we invest.

Principle 4:

We will promote acceptance and implementation of the Principles within the investment industry.

Principle 5:

We will work together to enhance our effectiveness in implementing the Principles.

Principle 6:

We will each report on our activities and progress towards implementing the Principles.

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.



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.

Baker Gilmore has a number of well-established internal policies and procedures designed to ensure that conflicts of interest will be identified, properly managed and will ensure that we safeguard our clients’ interests whenever possible.

On an annual basis, Personnel are required to sign a Personal Conduct Statement for the previous year. The Personal Conduct Statement is based on the CFA Institute Professional Conduct Statement which outlines the compliance with the CFA institute Code of Ethics, Standards of Professional Conduct and Rules of procedures of Professional Conduct.

03.3. Additional information. [Optional]

SG 04. Identifying incidents occurring within portfolios (Not Completed)