2019 Breckinridge Sustainability Report - Page 30



APPENDIX
SUSTAINABILITY DISCLOSURE TOPICS AND ACCOUNTING METRICS
Breckinridge has been a longstanding supporter of the Sustainability Accounting Standards Board (SASB) and its mission
of standardized corporate sustainability reporting. We are members of SASB’s Alliance as well as its Investor Advisory
Group. To advance our commitment, we adopted their recommended reporting standards for the Asset Management &
Custody Activities Industry for the first time in 2018. Below is our first attempt at reporting on these standards, and we
expect our reporting to improve over time.
Topic
Metric
Transparent Information and Fair
Advice for Customers
(1) Number and (2) percentage of
(1) Zero
covered employees with a record of
investment-related investigations,
(2) 0%
consumer-initiated complaints, private
civil litigations, or other regulatory
proceedings
Total amount of monetary losses as a
result of legal proceedings associated
with marketing and communication of
financial product-related information
to new and returning customers
2018 Performance
Zero
Description of approach to informing
General information is available on
customers about products and services our website. Detailed information
is provided to clients initially and
updates are provided as a part of
ongoing relationship management.
Employee Diversity and Inclusion
Percentage of gender and racial/ethnic
group representation for (1) executive
management, (2) nonexecutive
management, (3) professionals and (4)
all other employees
Incorporation of Environmental,
Social and Governance Factors in
Asset Management
Amount of assets under management, See page 22 of this report.
by asset class, that employ (1)
integration of environmental, social
and governance (ESG) issues, (2)
sustainability-themed investing and (3)
screening
Description of approach to
incorporation of environmental,
social, and governance (ESG)
factors in investment and/or wealth
management processes and strategies
At current, Breckinridge only tracks
gender. Figures below are as of
12/31/18.
1. Executive management: 20%
2. Nonexecutive management
(SVP and above): 28%
3. Investment professionals: 33%
4. All other employees: 41%
General information is available on
our website. Detailed information
is provided to clients initially and
updates are provided as a part of
ongoing relationship management.
Description of proxy voting and investee Please note that proxy voting is rare in
engagement policies and procedures
fixed income. However, Breckinridge
maintains written policies and
procedures on proxy voting.
(Continued on page 28)
27

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