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Segal Marco Advisors

Service Providers Framework 2019

You are in Active Ownership Services » Engagement


AOS 04. Prioritizing engagement topics

04.1. Describe how you select priority engagement topics to raise with companies and how you involve your clients in this process.

          Clients determine which ESG issue resonate most with their fund and then we select companies where we collectively perceive a gap between the ESG concern and the company's response.

04.2. Describe how you define the objectives and milestones of the engagements and how you involve your clients in this process.

          Clients determine the appropriate strategy -- proposals/ letters/ outreach -- and success is narrowing the gap between the ESG concern and the company's response.

04.3. Additional information [OPTIONAL]


AOS 05. Channels of engagement

05.1. Indicate what channels you use to engage. Tick all that apply and indicate the frequency with which you typically use the channels.

Engagement type






05.2. Describe your typical execution method.

          Submission of a shareholder proposal followed by a dialogue with appropriate company representative.

05.3. Additional information [OPTIONAL]


AOS 06. Accessing the appropriate teams when engaging with companies

06.1. Indicate from the options below the employee at the companies you typically engage with.

Employee level




06.2. Describe how you ensure the client’s rationale and engagement objectives are being communicated clearly to the company at the beginning and during the dialogue phase.

          Clients participate in the engagement.

06.3. Describe the escalation strategies you take (or suggest that your clients take) when the engagement objectives are not achieved.

          Proxy voting is a tool available to clients when engagement has not moved the needle.

06.4. Additional information [OPTIONAL]


AOS 07. Monitoring engagements

07.1. Indicate how you monitor the progress of engagements.

07.2. Describe how you typically decide what recommendations for next steps to give to clients.

We discuss the status of the engagement with the client and assess our ability to be effective in the future should the proposal be withdrawn or proceed to a vote. Based on the prospects for long-term success, we make decisions in the short-term. 

07.3. Additional information [OPTIONAL]


AOS 08. Defining and measuring success

08.1. Describe how you define success when evaluating/reviewing engagements on ESG factors.

          Full or partial implementation of the ESG request.

08.2. Describe how you measure success when evaluating/reviewing these engagements.

          Full or partial implementation of the ESG request.

08.3. Additional information [OPTIONAL]


AOS 09. Companies changing practices/behavior following engagement (Private)

AOS 10. Engaging with policy makers and industry bodies (Private)