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Social Enterprise Research Academy

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.

SERA is the first professional body in Asia to have developed the Social Caring Pledge Scheme for businesses that are committed to a voluntary set of ethical standards in the areas of social care and responsibility.

Our vision is "Harnessing the market to bring social change" and we incorporate ESG training programmes in our activities for corporate members such as hosting Responsible Investment symposium/panel in Feb 2017 and free ESG introduction seminars for beginners as well as incorporating a 1 day training programe for C-level managers and responsible officers in ESG who are our awardees or have enrolled into our Social Caring Pledge Scheme.  

For more information, please refer to our website www.  

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

01.5. Additional information [OPTIONAL]

SG 02. Norms used to develop policies (Not Applicable)

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
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

03.3. 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

Other, specify (1)

          We offer Leadership training to enrolled corporates and ESG program is part of the training.

How you include ESG/RI factors

We have been regularly hosting fellowship dinners every 3 months which covers Environmental and Social issues to engage corproate members and staffs or even supporting organizations key members to join to enhance awareness. 

SERI serves itself as a collaborative platform for hundreds of corproate members to share resources in achieving a higher social objective, therefore we organized volunteer works with the active participation of several company units at one time and achieve the economy of scales on resources we have on hand. 



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
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.

04.7. 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.

There are no variations on the group we provide training to, please refer back to the ESG course description for the main components of our ESG training program.

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

          We don't have other commercial elements during our ESG training.

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.

In Principle No. 4 in PRI, it states " We will promote acceptance and implementation of the Principles within the investment industry", SERA is the first professional body in Asia to have developed the Social Caring Pledge Scheme for businesses that are committed to a voluntary set of ethical standards in the areas of social care and responsibility. We continute promoting not only to corproate members from Investment industry but also other members who would have to hand in ESG report as a listing company. 


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.

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

not applicable 

SG 10. Interaction with asset owners (Not Applicable)

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]

Our organisation's philosophy on and approach to ESG does not directly serve any particular investor as we are mainly providing a holistic training as a service provider, therefore we could not relate to investor goals which may include, but are not limited to: compiling an RI/ESG value or belief statement, setting RI outcomes to be achieved over time, setting timelines for RI outcomes, documenting RI outcomes etc. 

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]

Similar to SG12 explaination that we as a service provider on ESG training, this does not seem relevant. 

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.

Based on clients' feedbacks, we refine our way of delivering the training and we make the course much better. 

SG 14. Managing conflicts of interest

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

14.4. Additional information. [OPTIONAL]