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Service Providers Framework 2020

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.

          The engagement process is directed by the investor’s RI policy and strategy we analyse along with the client which are the most pressing topics and or issues to engage with and what the best strategy for the engagement is. Some of the topics that we engage in are:
ESG risk management
Climate change
Bribery and corruption 
Human Rights
Supply chain

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

          Once we decide the topics along with the client we determine at what level the company is currently at (no information, low, medium or advanced) and we define where we’d like to see the company at and the time frame. In this manner we develop a working strategy and follow up process.

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.

          We develop the engagement strategy and working plan with objectives and milestones and we review the plan periodically.

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.

          We begin the engagement process by writing to the company explaining how the performance in the topic that we analyse is distant from the performance expected and usually achieved by other companies in the sector or even by the sector average. We ask for a conference or a meeting to explain and make sure that the information is accurate first and clear. In this meeting we make sure that the objective of the engagement is clear and that the company is clear in the steps that it is expected to follow.

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

          We will always advise to continue with the engagement process and only of necessary to divest gradually.

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 provide this recommendations developed along with the client and always taking into account the financial consequences of the recommendations.

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.

          As described above we have in the strategy objectives as to how we expect the company to move form (no information, low, medium or advanced).

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

          We measure it by the company’s performance measured against a sector benchmark as no information, low, medium or advanced.

08.3. Additional information [OPTIONAL]


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

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