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Rathbone Brothers PLC (Corporate Activity)

Logo for Rathbone Brothers PLC
SRI Style: Responsible Ownership
Fund Type: Corporate Activity
Region: UK
Asset Type: Equity
Launch Date: 29/06/2016

SRI / Ethical Overview

We are committed to socially responsible investing. We believe it is in the best interests of our clients for the companies in which we invest to adopt best practice in corporate governance. This provides a framework in which each company can be managed for the long-term interests of its shareholders. Mindful of our responsibilities to our clients, we seek to be good, long-term stewards of the investments which we manage on their behalf. Our major responsibility in this regard is to ensure that company boards are functioning well in their role as independent scrutinisers of management. We have developed a robust approach to proxy voting as a fundamental expression of our stewardship responsibilities. However, stewardship is not limited to this activity. Engagement with companies on governance issues is an important adjunct to voting activities. 

Proxy voting at Rathbones is overseen by a committee of investment professionals from across the business, supported by a governance manager and an external proxy voting consultant. This is consistent with the collegiate approach typified in the group’s process management structures. We aim to target our resources where they can make the most difference to the greatest number of clients. Therefore, we actively consider our proxy voting on the top 200 companies we hold by value, and on those companies where we own more than 3% of the share capital. By our estimation, active voting covers in excess of 90% of our funds under management.

More detail on our approach to stewardship and responsible investment can be found here:

Corporate Governance and Leadership


In the wider area of Environmental, Social and Governance risk management, we have been signed-up to the United Nations Principles for Responsible Investment since 2009, a set of voluntary guidelines that help companies to address social, ethical, environmental and corporate governance issues into the investment process. We were listed as one of the 20 most active members of the PRI Engagement Clearinghouse in 2015 and 2016.

Since 2006, we have been a signatory to the Carbon Disclosure Project, an independent organisation that measures corporate climate change.

We continue to work to meet the spirit of the UK Stewardship Code to improve engagement between companies and shareholders.


SRI Policies (Primary strategy in bold)

  • Social policy Find fund options that consider social issues (e.g. human rights, labour standards, equal opportunities, child labour and adherence to internationally recognised codes such as the UN Global Compact). This will include funds in most of the different SRI Styles as this is considered a core issue. See fund information for detail.

SRI Features


Corporate Activity

  • Responsible Ownership policy for non SRI funds Find funds run by fund managers that apply Responsible Ownership or 'Stewardship' policies to all or most of their investment assets. This means that active involvement (e.g. voting, dialogue) with the companies they invest in across funds (not normally limited to ethical or SRI options.) Read fund literature for further information.
  • PRI signatory Find fund management companies that have signed up to the UN backed 'Principles of Responsible Investment' initiative.

SRI / Ethical Policy

Corporate Activity

  • Responsible Ownership policy for non SRI funds:   This fund manager applies Responsible Ownership or 'Stewardship' policies to all or most of their investment assets. This means that active involvement (e.g. voting, dialogue) with the companies they invest in is not limited to ethical or SRI options


Corporate Governance and Stewardship


Resources, Affiliations & Corporate Strategies

Corporate Governance Committee – 10 investment management professionals responsible for overseeing all proxy voting.


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