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Leaders Arena

Service Providers Framework 2018

You are in Strategy and Governance » Responsible investment policy

Responsible investment policy

SG 01. Responsible investment policy

01.1. Describe how your organisation’s philosophy incorporates environmental, social and governance factors, and the link to your business offerings.

Our entire business model is built on the premise of creating purposeful ESG dialogue between companies and investors. As professional service partners, we recognise that we have considerable influence over how our clients address ESG issues. Leaders Arena acknowledges the relevance of ESG issues to investment management, and commits to providing, promoting and improving services that support the implementation of the Principles for Responsible Investing.

With presence in Europe and the United States Leaders Arena Advisory Services aims to provide unparalleled tactical support and strategic guidance to optimise Environmental, Social and Governance (ESG)-related communication with the markets.

Our proprietary research tools and methodology gives clients insight into the ESG integration practices at asset owners and managers. In addition, our services such as engagement support, helps bring investors together with corporates in order to conduct purposeful dialogue. Our support helps provide decision-useful ESG information to the markets. 

01.2. Indicate whether you have internal policies that formalise the incorporation of your beliefs in your business offerings.

01.3. Indicate the components/types of your internal policy

Policy components/types
          Our firm is dedicated to improving communications between investors and listed companies so every offering fulfils this purpose.
        

01.4. Indicate how these are put into practice internally across the organisation.

01.5. Additional information [OPTIONAL]


SG 02. Publically available policies

02.1. Indicate which of your policy documents or statements (if any) are publicly available. Provide the URL and an attachment of the document.

Policy or document name

02.2. Additional information. [OPTIONAL]


SG 03. Norms used to develop policies

03.1. Indicate what standards you have used to develop your organisation’s policies. Tick all that apply.

          SASB
        
          GRI
        

03.2. Additional information. [OPTIONAL]

As we serve our clients we analyze a variety of frameworks and work with our clients to analyze factors that are most relevant for their business.


SG 04. Policy offerings to clients

04.1. Indicate whether you offer standard, off the shelf, policies to clients as part of your product offerings, and/or whether you create tailored versions for individual clients.

Off the shelf Tailored
Asset class-specific RI guidelines
Sector-specific RI guidelines
Screening/exclusions policy
Engagement policy
(Proxy) voting policy
RI guidelines set out within the Investment Policy Statement (IPS)
RI guidelines set out in a freestanding RI policy
Multi-year RI implementation project plan
Conflict of interest management policy
Stockbroker allocation policy
Securities lending policy
Other, please specify (1)
Other, please specify (2)
Other, please specify (3)
None of the above

04.3. Additional information. [OPTIONAL]

We don’t believe in one-size-fits-all solutions; instead, we approach each client relationship in a way that brings fresh, relevant insights.  We are proud to offer our clients specific, customized support and tools.


SG 05. ESG/RI in business offerings

05.1. Briefly describe how you include ESG/RI factors as part of your business offerings.

Business area

Reporting

How you include ESG/RI factors

Our firm is dedicated to helping improve ESG communication between investors and listed companies; therefore, our reporting services help clients focus on best practices and improvements to communication between investors and corporates. Therefore, in offerings for our clients, we are able to use our deep ESG experience to deliver every project with improvement to ESG as the main goal and outcome.

Active Ownership Services

How you include ESG/RI factors

Our firm is dedicated to helping improve ESG communication between investors and listed companies; therefore, our active ownership services help clients focus on best practices and improvements to communication between investors and corporates so that dialogues can be effective. Therefore, in offerings for our clients, we are able to use our deep ESG experience to deliver every project with improvement to ESG as the main goal and outcome.

Advisory and Consultancy

How you include ESG/RI factors

Our firm is dedicated to helping improve ESG communication between investors and listed companies; therefore, our advisory and consultancy services help clients focus on best practices and improvements to communication between investors and corporates. Therefore, in offerings for our clients, we are able to use our deep ESG experience to deliver every project with improvement to ESG as the main goal and outcome.

05.2. Indicate the roles in your organisation, and indicate for each whether they have oversight and/or implementation responsibilities for ESG/RI.

Roles present in your organisation Oversight/accountability for RI Implementation of RI
Board
Directors
Chief Executive Officer (CEO), Chief Financial Officer (CFO)
Other chief-level staff

Please specify

          
        

Please specify

          Senior ESG Consultant
        
Other heads of department

Please specify

          
        

Please specify

          
        
Dedicated ESG/RI staff
Other role, specify (1)

Please specify

          
        

Please specify

          
        
Other role, specify (2)

Please specify

          
        

Please specify

          
        
Other role, specify (3)

Please specify

          
        

Please specify

          
        
Other role, specify (4)

Please specify

          
        

Please specify

          
        
None of the above

05.3. Indicate how you ensure ESG/RI expertise for the roles where there are RI oversight/accountability or implementation responsibilities.

05.4. Indicate whether your organisation has any ESG/RI linked incentives for its employees.

05.6. Additional information [OPTIONAL]


SG 06. Outsourcing of services (Private)


SG 07. Providing training/education

07.1. Indicate whether you provide training/educational services on ESG/RI. Tick all that apply.

07.2. Describe the main components of your training/educational services on ESG/RI and any variations depending on the group you provide training/education to.

Our firm is dedicated to helping improve ESG communication between investors and listed companies; therefore, our services may include the education of corporate executives on ESG trends, how they impact their company and why it is important to communicate to investors on these important issues. 

07.3. Describe whether these training/educational services include any commercial elements.

          Yes, the tools we use to educate corporate executives are commercial in nature.
        

07.4. Additional information. [OPTIONAL]


SG 08. Applying, advancing and promoting the PRI principles

08.1. Describe how your organisation applies, advances and promotes the PRI Principles.

We believe that the long-term sustainability of society and corporations can be benefitted by effective dialogue between investors and corporates,  in order to share and implement best practices. Because of this, our firm’s entire purpose is dedicated to helping improve this ESG-related communication between investors and listed companies. In doing this we help advance and promote the following Principles:

1) #2 Engagement: our services help ensure productive, thoughtful meetings and correspondences between companies and investors in discussing ESG issues. Healthy dialogue between investors and companies is most effective when both sides are prepared and can thoughtfully share their perspectives. Our tools are instrumental in bringing about this goal. We also help arrange roadshows where investors and companies meet face to face to discuss their ESG equity story.

2) #1 and #3: Our services help ensure information is available to investors so that they can properly evaluate companies on ESG factors. Through this we are helping evaluate materiality, close information gaps, and allow first-hand knowledge sharing between companies and investors.

08.2. Highlight whether there are any ways that your organisation would like to engage further with the PRI. [OPTIONAL]


SG 09. Actions taken to promote responsible investment

9.1. Indicate which of the following actions your organisation has taken to promote responsible investments during the reporting year, independently of collaborative initiatives.

9.2. Additional information. [OPTIONAL]

 

 


SG 10. Long term trends

10.1. Indicate which of the following long-term trends are addressed in your product outputs.

10.2. Explain how this long-term trend affects your product outputs.

Helping our clients stay abreast of long-term trends such as this helps them report on, find KPIs to help measure, and integrate into business practices. 

10.2. Explain how this long-term trend affects your product outputs.

Helping our clients stay abreast of long-term trends such as this helps them report on, find KPIs to help measure, and integrate into business practices. We also offer specialized services focused on climate change, particularly around TCFD reporting, the Climate Action 100+ initiative and target setting.

10.2. Explain how this long-term trend affects your product outputs.

Helping our clients stay abreast of long-term trends such as this helps them report on, find KPIs to help measure, and integrate into business practices. 

10.2. Explain how this long-term trend affects your product outputs.

Helping our clients stay abreast of long-term trends such as this helps them report on, find KPIs to help measure, and integrate into business practices. 

          Cybersecurity
        

10.2. Explain how this long-term trend affects your product outputs.

Helping our clients stay abreast of long-term trends such as this helps them report on, find KPIs to help measure, and integrate into business practices. 

          Tax transparency
        

10.2. Explain how this long-term trend affects your product outputs.

Helping our clients stay abreast of long-term trends such as this helps them report on, find KPIs to help measure, and integrate into business practices. 

10.4. Additional information. [OPTIONAL]


SG 11. Interaction with asset owners

11.1. Indicate whether you interact with asset owner clients.

11.3. Additional information. [OPTIONAL]


SG 12. Aligning approach with investor goals

12.1. Describe how you align your organisation’s philosophy on and approach to ESG/RI with investor goals.

12.2. Additional information. [OPTIONAL]


SG 13. ESG recommendations not aligned with investor goals

13.1. Describe what steps you take, if any, when your ESG recommendations are not in line with investor goals.

13.2. Additional information. [OPTIONAL]


SG 14. Seeking feedback from clients

14.1. Indicate whether you seek feedback from clients on your RI/ESG services and product offerings

14.2. Describe how you use this feedback in your RI/ESG services and product offerings.

As a service provider, we always look for ways to improve our services so that we can be as value-added as possible. Therefore, as we work with clients we seek feedback as we aim to improve and use this feedback to expand our service offerings. 

 

14.4. Additional information. [OPTIONAL]


SG 15. Managing conflicts of interest

15.1. Indicate whether your organisation has a policy for managing potential conflicts of interest.

15.2. Describe how you manage potential conflicts of interest.

While we monitor and closely manage interactions with clients, the risk of conflicts within our business is very low. 

15.3. Describe how you ensure that company employees do not derive any personal gain from the use of information collected during your work process.

Our employees are bound by an agreement to safeguard any client information collected or learned throughout our interactions. While we monitor and closely manage interactions with clients, the risk of potential personal gain from the information collected throughout our business is very low. 

15.4. Additional information. [OPTIONAL]


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