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Segal Marco Advisors

Service Providers Framework 2019

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You are in Strategy and Governance » Policy on ESG beliefs

Policy on ESG beliefs

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.

ESG factors are one of the elements we assess in our manager due diligence process. We seek ESG focused managers to fulfill specific needs of clients. We have a separate team that engages in Corporate Governance activities that include proxy voting and engaging with companies on ESG issues. 

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

01.3. Indicate the components/types of your internal policy and provide the URL and/or an attachment of the document/s if they are publicly available.

Policy components/types 
          7 Factor, 34 Element manager assessment process explicitly includes ESG factors

Public availability

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

          Research analysts question asset managers on ESG in the course of our due diligence process.

01.5. Additional information [OPTIONAL]

SG 02. Norms used to develop policies

02.1. Indicate what frameworks and guidelines you have used to develop your organisation’s policies. Tick all that apply.

02.2. Additional information. [OPTIONAL]

SG 03. Policy offerings to clients

03.1. 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

03.2. Provide a brief description of the key elements, any variations, or exceptions applying to these policies.

As indicated our polices are tailored to client needs.

03.3. Additional information. [OPTIONAL]

SG 04. ESG/RI in business offerings

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

Business area

Active Ownership Services

How you include ESG/RI factors

Stewardship services - proxy voting and corporate governance engagement is a specific team that directly works with clients on improving governance and addressing ESG issues.

Investment Consultancy

How you include ESG/RI factors

How asset managers address ESG factors in their security selection process is a specific part of our manager due diligence process.  We work directly with clients on selecting managers with ESG integrated approaches and how to develop investment policies that are responsive to these principles.

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

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

Please specify
Other heads of department

Please specify 

          Corporate Governance Director oversees proxy voting and corporate engagement on ESG issues.
Dedicated ESG/RI staff
Other role, specify (1)
Other role, specify (2)
Other role, specify (3)
None of the above

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

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

04.7. Additional information [OPTIONAL]

SG 05. Outsourcing of services (Private)

SG 06. Providing training/education

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

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

We provide regular training on thematic and strategic applications of ESG to Fund Trustees. 

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

          Our materials are for educational purposes to inform clients who may decide to allocate funding to a particular strategy or manager.

06.4. Additional information. [OPTIONAL]

SG 07. Applying, advancing and promoting the PRI principles

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

As signatories we inform the industry of our participation and the importance of the principles.  We participate in panels and press discussions regarding the principles. We advocate for ESG matters through direct advocacy with corporations and proxy voting.

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

SG 08. Actions taken to promote responsible investment

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

8.2. Additional information. [OPTIONAL]

SG 09. Long term trends

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

09.3. If none of the above are applicable, please explain why not.

Each of the items listed: changing demographics; climate change; resource scarcity and technology developments as well as a host of other ESG factors impact the capital markets and therefore we continually educate clients on them. Given our role as a consulting firm the trends are not addressed in a product output.

SG 10. Interaction with asset owners

10.1. Indicate whether you interact with asset owner clients.

10.2. Indicate the typical frequency and type of interactions with your asset owner clients.

Type of interaction

Frequency

Frequency

Frequency

Frequency

Frequency

10.3. Additional information. [OPTIONAL]

SG 11. Aligning approach with investor goals

11.1. Describe how you typically align your organisation’s philosophy and approach to ESG/RI with your investor clients’ goals.

11.2. Additional information. [OPTIONAL]

SG 12. ESG recommendations not aligned with investor goals

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

12.2. Additional information. [OPTIONAL]

SG 13. Seeking feedback from clients

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

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

Feedback is a continous process for improving our client relationship management.

SG 14. Managing conflicts of interest

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

14.2. Describe how you manage potential conflicts of interest.

We have an extensive conflict management policy approved by senior management and administered by our Chief Compliance Officer.

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

We have an extensive policy for assuring that our employees do not derive any personal gain that is administered by our Chief Compliance Officer

14.4. Additional information. [OPTIONAL]

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