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Hawkclaw Capital Advisors, Lda

Service Providers Framework 2020

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.

Hawkclaw Capital Advisors is an independent investment firm that provides investment advisory services as well as reception and transmission of orders in relation to financial instruments. We have a conservative asset management approach and we intend to offer security and high standards of service to our clients. Our business philosophy includes an environmental, social and corporate government (ESG) perspective as we believe these issues strongly impact the sustainability of a business intrinsic value. Adopting this structure, our client(s) see operational risk mitigated and independence guaranteed, benefiting from an optimal framework in order to take a better investment decision.

https://www.hawkclawcapital.com

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

Public availability

Attachment

Public availability

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

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.

The policies we mentioned above are integrated in the investment process. They include governance, social and environmental factors and are considered for investment purposes. Although we are committed to ESG factors minor exceptions could occasionally occur following a client review.

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

Investment Consultancy

How you include ESG/RI factors

We include ESG/RI factors in our investment process as we believe it adds value to our service. We find that investment portfolios that consider ESG factors through asset or risk management processes, deliver higher returns and lower volatility. During our analysis we consider different ratings on several factors that may have a medium to long term impact on shareholders and creditors.

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
Other heads of department
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.

04.6. Describe how you ensure that your employees incorporate ESG/RI into services through other mechanisms than ESG/RI linked incentives.

We ensure that our employees incorporate ESG/RI through reporting and monitoring of every step of the process.

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.

06.4. 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.

Hawkclaw Capital Advisors integrates PRI principles in its investment process contributing to client awareness about ESG factors. It also promotes the principles whenever it is invited to comment or write in the media.

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

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

08.2. Additional information. [OPTIONAL]


SG 09. Long term trends

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

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

In our investment process we follow companies from different sectors, as such we have to look at all the modern trends such as changing demographics, climate change, resource scarcity and technology developments because they strongly impact the sustainability of those companies and, consequentially, the end result of our service. By addressing these trends in our investment process we can further mitigate operational risk and provide better results to our clients.

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

In our investment process we follow companies from different sectors, as such we have to look at all the modern trends such as changing demographics, climate change, resource scarcity and technology developments because they strongly impact the sustainability of those companies and, consequentially, the end result of our service. By addressing these trends in our investment process we can further mitigate operational risk and provide better results to our clients.

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

In our investment process we follow companies from different sectors, as such we have to look at all the modern trends such as changing demographics, climate change, resource scarcity and technology developments because they strongly impact the sustainability of those companies and, consequentially, the end result of our service. By addressing these trends in our investment process we can further mitigate operational risk and provide better results to our clients.

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

In our investment process we follow companies from different sectors, as such we have to look at all the modern trends such as changing demographics, climate change, resource scarcity and technology developments because they strongly impact the sustainability of those companies and, consequentially, the end result of our service. By addressing these trends in our investment process we can further mitigate operational risk and provide better results to our clients.


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

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.

We have a conservative investment advisory approach and we intend to offer security and high standards of service to our clients. Our business philosophy includes an environmental, social and corporate government (ESG) perspective because we believe modern trends such as climate change, resource scarcity and others strongly impact the sustainability of a business intrinsic value. By addressing these trends in our investment process we can further mitigate risks and provide better results to our clients.

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.

As previously explained, our ESG policy contributes to risk mitigation providing a higher probability to obtain a better risk adjusted performance, aligning ESG factors with our 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.

We use feedback to improve our service offerings and build a sustainable business.


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 policies and procedures to manage and mitigate the risks of potential or perceived conflicts of interests.

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.

Our activities and operations are founded on trust and confidence. We are judged largely on the collective and individual actions of our officers and staff members. Therefore, our employees bear special responsibilities for high standards in personal and professional behavior. To ensure our employees maintain these high standards we constantly monitor every step of the work process and take due action when necessary.

14.4. Additional information. [OPTIONAL]


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