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Global Responsible Investment and Stewardship Policy and Principles

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Global Responsible Investment and Stewardship Policy and Principles Global Responsible Investment and Stewardship Policy and Principles A 1.0 Introduction 1.1 Our purpose and beliefs As a firm, we hold the following beliefs on Environmental, Social and Governance (ESG) issues: First Sentier Investors (FSI, known as First – ESG issues are sources of long-term risk and return therefore State Investments outside of Australia) is a considering ESG issues leads to better analyses and global fund manager with experience across investment decisions. a range of asset classes and specialist – The execution of ownership rights can increase performance investment sectors. We are stewards of and lower risk over time, assets with well-managed ESG assets managed on behalf of institutional factors will produce higher risk-adjusted returns over the long term. investors, pension funds, wholesale – Integrating ESG in all mandates enhances the quality of our distributors, investment platforms, financial investment processes as ESG issues, when poorly managed, advisers and their clients worldwide. will create long-term material impacts for society and the environment. Our purpose is to deliver sustainable investment success for the benefit of our clients, employees, society and our Sustainability in investing is broader than only considering ESG shareholder and our vision is to be a provider of world-leading factors. This document sets out the group-wide requirements investment expertise and client solutions, led by our that all of our investment professionals are expected to meet responsible investment principles and based on our core and recognises that responsible investment practices continue values: Care, Openness, Collaboration and Dedication. to evolve and that appropriate approaches to responsible investment and stewardship will differ between asset classes, We recognise that as allocators of capital, stewards of our industries, and individual investments. These principles replace clients’ assets and as active shareholders in companies on our Global Stewardship Principles, the guidelines and principles their behalf, the individual and collective decisions we make as for corporate engagement on governance, environmental and investors have far-reaching implications. While our business is social issues, the policy on cluster munitions and anti-personnel to protect and enhance the value of our clients’ assets, we are mines and the tobacco exclusion policy. aware of our wider responsibilities, such as upholding the 1 quality and integrity of the financial markets we invest in and the These principles have been approved by FSI’s Global allocation of capital to productive purposes that contribute to a Responsible Investment Steering Group and is to be reviewed sustainable economy and society. We firmly believe that an at least every two years. FSI’s Internal audit and Investment emphasis on stewardship underpins the quality of our Assurance functions will test compliance with the policy on a investment process and is part of our broader social licence regular basis. to operate. Whilst each team has its own distinct investment process, they all share a commitment to responsible investment and stewardship (RI). Together we aspire to be a global leader in responsible investment and stewardship practices and believe that our diverse investment teams are a key strength in achieving that aim. 1. These Principles should be construed as a ”policy” for the purposes of compliance with the EU Shareholder Rights Directive II Global Responsible Investment and Stewardship Policy and Principles 1 1.0 Introduction 1.2 What Responsible Investment – Proxy voting is an important investor right and responsibility and should be exercised wherever possible. As active owners & Stewardship means to us of our clients’ funds, we must exercise the ownership rights RI often focuses on the consideration of ESG factors in and vote every share where we have the ability and authority investment decision-making and active ownership practices. to do so. While this is critically important, we believe that effective and credible approaches to responsible investment must rest on – It is our responsibility to work for the benefit of our clients, foundations of a strong stewardship culture and mind-set, constructively with our clients, consultants, our peers, engaged people, quality investment processes and responsible regulators and other stakeholders to: and ethical business conduct. – Encourage long-term investing and sustainable high quality The following principles are designed to act as a guide for all financial markets; investment professionals when confronted with issues not – Encourage the allocation of capital to sustainable business specifically covered in this document: activities; and to – Excellence in RI is a key to being a world-class asset – Contribute to the development of higher industry standards of manager that clients can trust. responsible investment and stewardship practices. – Companies that recognise their responsibilities for – We must measure and report on the ESG outcomes of our environmental stewardship, positive societal engagement investments as evidence of our approach to responsible and strong corporate governance can reduce investment risk asset management. and add value over time. – It is part of our fiduciary duty to proactively assess ESG factors as part of our investment process and to be active owners of our clients’ assets. – Entering into dialogue with companies in order to achieve positive ESG outcomes will deliver better value with lower risk over the long-term. Global Responsible Investment and Stewardship Policy and Principles 2 1.0 Introduction 1.3 Our approach to climate change Where we believe that our clients’ capital may be exposed to We accept the science of climate change and support the such activities, we will engage with companies with the global transition to net zero emissions in line with the goals of expectation that they will eliminate such exposures within their the Paris Agreement. As investors, we understand this will direct activities and supply chains. We will also encourage and impact different assets in different ways, both in relation to their expect companies to adopt and participate in internationally contribution to climate change in the form of greenhouse gas accepted standards and certification programs. emissions, but also their exposure to changes occurring in the 1.5 Our approach to the Sustainable physical environment and changes occurring in the regulatory and operating environment. We report in line with the Task Development Goals Force for Climate-Related Financial Disclosure’s We support the Sustainable Development Goals (SDGs) and recommendations and encourage the companies that we believe that investors have an important role to play in invest in to do the same. allocating capital towards meeting these goals. In addition, we The key elements of the FSI Responsible Investment Strategy believe that the SDGs serve as a good framework for measuring directly related to climate change are set out in our Climate how our investments and how we as an organisation contribute Change Statement, available at: to sustainable development, which is a priority for us https://www.firstsentierinvestors.com.au/content/dam/web/ moving forward. australia/responsible-investment/au-climate-change- statement.pdf 1.6 Our approach to Human Rights and Modern Slavery risks 1.4 Our approach to Deforestation Human rights is a complex issue attracting increasing levels of We recognise the role that forests play in mitigating climate scrutiny and which can affect multiple asset classes. change and protecting biodiversity and forest reliant Corporations have legal, moral and commercial responsibilities to economies. We also recognise the negative climate impact of respect human rights and manage the human rights impacts of deforestation driven by the over exploitation of high-risk their operations. They are not only expected to meet their human commodities such as palm oil, soy, cattle and timber. While we rights responsibilities, but may face reputational, legal or other accept that there is positive economic benefit of such activities, consequences if they fail to do so. As an investor in these we believe that unsustainable practices pose significant businesses on behalf of our clients, it is imperative that we fully environmental, social and investment risks. This includes understand the risks and seek to mitigate them. exposure to derivatives linked to these high-risk commodities. The key elements of our RI strategy directly related to human FSI does not wish to provide capital to supporting unsustainable rights and modern slavery are set out in our Human Rights business activities that contribute to deforestation, fail to protect Toolkit and Modern Slavery Toolkit. high value forest and/or land or systematically violate land rights or the rights of local communities. Global Responsible Investment and Stewardship Policy and Principles 3 1.0 Introduction 1.7 Internal governance A conflict of interest may arise where: Over 50 people across our global organisation are part of our – FSI’s interest conflicts with its duty to its clients; responsible investment and stewardship governance structure – FSI’s interest to one client conflicts with its duty to another which includes the following key features: client; and where – Responsible Investment Steering Group: chaired by our CEO, – FSI owes a duty of confidentiality to one party but has the this group is responsible for setting the direction
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