Asset Manager Action on Reconciliation

The Reconciliation and Responsible Investment Initiative (RRII) is seeking to understand how investment management firms are incorporating considerations relating to Indigenous peoples into their activities as key economic actors, and thus advancing reconciliation. To support RRII in building this understanding, you are invited to participate in this survey, which should take approximately 10 minutes to complete. The answers you provide will remain anonymous, and results will only be reported in aggregate. If you have any other questions or concerns, please contact Katherine Wheatley at kwheatley@share.ca.

Question Title

* 1. Are you aware of any of the following Indigenous-focused investment opportunities?

Raven Indigenous Impact Fund

First Nations Finance Authority bonds

Bridging Indigenous Impact Fund

Other (please specify)

None of the above

Question Title

* 2. Please describe the frequency with which your firm engages in the following practices:

	Never, and I am not aware of plans to do so in the next 12 months	Never, but we intend to within the next 12 months	Occasionally	Often	Always	I don't know
Incorporate considerations related to Indigenous peoples into your investment analysis for publicly traded companies. (e.g., respect for rights, Indigenous relations policy, and representation among company leadership or board)	Incorporate considerations related to Indigenous peoples into your investment analysis for publicly traded companies. (e.g., respect for rights, Indigenous relations policy, and representation among company leadership or board) Never, and I am not aware of plans to do so in the next 12 months	Incorporate considerations related to Indigenous peoples into your investment analysis for publicly traded companies. (e.g., respect for rights, Indigenous relations policy, and representation among company leadership or board) Never, but we intend to within the next 12 months	Incorporate considerations related to Indigenous peoples into your investment analysis for publicly traded companies. (e.g., respect for rights, Indigenous relations policy, and representation among company leadership or board) Occasionally	Incorporate considerations related to Indigenous peoples into your investment analysis for publicly traded companies. (e.g., respect for rights, Indigenous relations policy, and representation among company leadership or board) Often	Incorporate considerations related to Indigenous peoples into your investment analysis for publicly traded companies. (e.g., respect for rights, Indigenous relations policy, and representation among company leadership or board) Always	Incorporate considerations related to Indigenous peoples into your investment analysis for publicly traded companies. (e.g., respect for rights, Indigenous relations policy, and representation among company leadership or board) I don't know
Change a company’s valuation due to considerations related to Indigenous peoples. (e.g., failure to respect Indigenous rights, such as free, prior, and informed consent)	Change a company’s valuation due to considerations related to Indigenous peoples. (e.g., failure to respect Indigenous rights, such as free, prior, and informed consent) Never, and I am not aware of plans to do so in the next 12 months	Change a company’s valuation due to considerations related to Indigenous peoples. (e.g., failure to respect Indigenous rights, such as free, prior, and informed consent) Never, but we intend to within the next 12 months	Change a company’s valuation due to considerations related to Indigenous peoples. (e.g., failure to respect Indigenous rights, such as free, prior, and informed consent) Occasionally	Change a company’s valuation due to considerations related to Indigenous peoples. (e.g., failure to respect Indigenous rights, such as free, prior, and informed consent) Often	Change a company’s valuation due to considerations related to Indigenous peoples. (e.g., failure to respect Indigenous rights, such as free, prior, and informed consent) Always	Change a company’s valuation due to considerations related to Indigenous peoples. (e.g., failure to respect Indigenous rights, such as free, prior, and informed consent) I don't know
Engage with investee companies on respect for Indigenous rights and reconciliation. (e.g., to encourage meaningful consultation; to build respectful relationships; and to obtain the free, prior, and informed consent of Indigenous peoples before proceeding with projects)	Engage with investee companies on respect for Indigenous rights and reconciliation. (e.g., to encourage meaningful consultation; to build respectful relationships; and to obtain the free, prior, and informed consent of Indigenous peoples before proceeding with projects) Never, and I am not aware of plans to do so in the next 12 months	Engage with investee companies on respect for Indigenous rights and reconciliation. (e.g., to encourage meaningful consultation; to build respectful relationships; and to obtain the free, prior, and informed consent of Indigenous peoples before proceeding with projects) Never, but we intend to within the next 12 months	Engage with investee companies on respect for Indigenous rights and reconciliation. (e.g., to encourage meaningful consultation; to build respectful relationships; and to obtain the free, prior, and informed consent of Indigenous peoples before proceeding with projects) Occasionally	Engage with investee companies on respect for Indigenous rights and reconciliation. (e.g., to encourage meaningful consultation; to build respectful relationships; and to obtain the free, prior, and informed consent of Indigenous peoples before proceeding with projects) Often	Engage with investee companies on respect for Indigenous rights and reconciliation. (e.g., to encourage meaningful consultation; to build respectful relationships; and to obtain the free, prior, and informed consent of Indigenous peoples before proceeding with projects) Always	Engage with investee companies on respect for Indigenous rights and reconciliation. (e.g., to encourage meaningful consultation; to build respectful relationships; and to obtain the free, prior, and informed consent of Indigenous peoples before proceeding with projects) I don't know
Engage with investee companies to seek enhanced disclosure on their approaches to Indigenous peoples and reconciliation. (e.g., policies and data on Indigenous employment, advancement, board representation, and procurement)	Engage with investee companies to seek enhanced disclosure on their approaches to Indigenous peoples and reconciliation. (e.g., policies and data on Indigenous employment, advancement, board representation, and procurement) Never, and I am not aware of plans to do so in the next 12 months	Engage with investee companies to seek enhanced disclosure on their approaches to Indigenous peoples and reconciliation. (e.g., policies and data on Indigenous employment, advancement, board representation, and procurement) Never, but we intend to within the next 12 months	Engage with investee companies to seek enhanced disclosure on their approaches to Indigenous peoples and reconciliation. (e.g., policies and data on Indigenous employment, advancement, board representation, and procurement) Occasionally	Engage with investee companies to seek enhanced disclosure on their approaches to Indigenous peoples and reconciliation. (e.g., policies and data on Indigenous employment, advancement, board representation, and procurement) Often	Engage with investee companies to seek enhanced disclosure on their approaches to Indigenous peoples and reconciliation. (e.g., policies and data on Indigenous employment, advancement, board representation, and procurement) Always	Engage with investee companies to seek enhanced disclosure on their approaches to Indigenous peoples and reconciliation. (e.g., policies and data on Indigenous employment, advancement, board representation, and procurement) I don't know
Engage in policy advocacy to support Indigenous rights and reconciliation. (e.g., to support the harmonization of the United Nations Declaration on the Rights of Indigenous Peoples with domestic laws)	Engage in policy advocacy to support Indigenous rights and reconciliation. (e.g., to support the harmonization of the United Nations Declaration on the Rights of Indigenous Peoples with domestic laws) Never, and I am not aware of plans to do so in the next 12 months	Engage in policy advocacy to support Indigenous rights and reconciliation. (e.g., to support the harmonization of the United Nations Declaration on the Rights of Indigenous Peoples with domestic laws) Never, but we intend to within the next 12 months	Engage in policy advocacy to support Indigenous rights and reconciliation. (e.g., to support the harmonization of the United Nations Declaration on the Rights of Indigenous Peoples with domestic laws) Occasionally	Engage in policy advocacy to support Indigenous rights and reconciliation. (e.g., to support the harmonization of the United Nations Declaration on the Rights of Indigenous Peoples with domestic laws) Often	Engage in policy advocacy to support Indigenous rights and reconciliation. (e.g., to support the harmonization of the United Nations Declaration on the Rights of Indigenous Peoples with domestic laws) Always	Engage in policy advocacy to support Indigenous rights and reconciliation. (e.g., to support the harmonization of the United Nations Declaration on the Rights of Indigenous Peoples with domestic laws) I don't know
Encourage Indigenous clients to consult with their community to enable beneficiaries to inform the incorporation of community values and beliefs alongside or within the client’s investment policy? (e.g., consideration of an investment screen or thematic investments)	Encourage Indigenous clients to consult with their community to enable beneficiaries to inform the incorporation of community values and beliefs alongside or within the client’s investment policy? (e.g., consideration of an investment screen or thematic investments) Never, and I am not aware of plans to do so in the next 12 months	Encourage Indigenous clients to consult with their community to enable beneficiaries to inform the incorporation of community values and beliefs alongside or within the client’s investment policy? (e.g., consideration of an investment screen or thematic investments) Never, but we intend to within the next 12 months	Encourage Indigenous clients to consult with their community to enable beneficiaries to inform the incorporation of community values and beliefs alongside or within the client’s investment policy? (e.g., consideration of an investment screen or thematic investments) Occasionally	Encourage Indigenous clients to consult with their community to enable beneficiaries to inform the incorporation of community values and beliefs alongside or within the client’s investment policy? (e.g., consideration of an investment screen or thematic investments) Often	Encourage Indigenous clients to consult with their community to enable beneficiaries to inform the incorporation of community values and beliefs alongside or within the client’s investment policy? (e.g., consideration of an investment screen or thematic investments) Always	Encourage Indigenous clients to consult with their community to enable beneficiaries to inform the incorporation of community values and beliefs alongside or within the client’s investment policy? (e.g., consideration of an investment screen or thematic investments) I don't know

Question Title

* 3. Please select the appropriate answer for each of the following questions related to your firm's Internal Policies and Initiatives.

	No, and I am not aware of plans to do so in the next 12 months	No, but we intend to within the next 12 months	Yes	I don't know	Not applicable
Has your firm supported research to further develop the investor case for investing in Indigenous employment, advancement, and procurement, as well as other Indigenous-focused investment opportunities?	Has your firm supported research to further develop the investor case for investing in Indigenous employment, advancement, and procurement, as well as other Indigenous-focused investment opportunities? No, and I am not aware of plans to do so in the next 12 months	Has your firm supported research to further develop the investor case for investing in Indigenous employment, advancement, and procurement, as well as other Indigenous-focused investment opportunities? No, but we intend to within the next 12 months	Has your firm supported research to further develop the investor case for investing in Indigenous employment, advancement, and procurement, as well as other Indigenous-focused investment opportunities? Yes	Has your firm supported research to further develop the investor case for investing in Indigenous employment, advancement, and procurement, as well as other Indigenous-focused investment opportunities? I don't know	Has your firm supported research to further develop the investor case for investing in Indigenous employment, advancement, and procurement, as well as other Indigenous-focused investment opportunities? Not applicable
Does your firm have any policies in place to foster procurement from Indigenous-owned businesses? (e.g., minimum annual spend, preferential weighting in RFPs, or other)	Does your firm have any policies in place to foster procurement from Indigenous-owned businesses? (e.g., minimum annual spend, preferential weighting in RFPs, or other) No, and I am not aware of plans to do so in the next 12 months	Does your firm have any policies in place to foster procurement from Indigenous-owned businesses? (e.g., minimum annual spend, preferential weighting in RFPs, or other) No, but we intend to within the next 12 months	Does your firm have any policies in place to foster procurement from Indigenous-owned businesses? (e.g., minimum annual spend, preferential weighting in RFPs, or other) Yes	Does your firm have any policies in place to foster procurement from Indigenous-owned businesses? (e.g., minimum annual spend, preferential weighting in RFPs, or other) I don't know	Does your firm have any policies in place to foster procurement from Indigenous-owned businesses? (e.g., minimum annual spend, preferential weighting in RFPs, or other) Not applicable
Has your firm developed or supported the development of Indigenous-focused investment products and funds?	Has your firm developed or supported the development of Indigenous-focused investment products and funds? No, and I am not aware of plans to do so in the next 12 months	Has your firm developed or supported the development of Indigenous-focused investment products and funds? No, but we intend to within the next 12 months	Has your firm developed or supported the development of Indigenous-focused investment products and funds? Yes	Has your firm developed or supported the development of Indigenous-focused investment products and funds? I don't know	Has your firm developed or supported the development of Indigenous-focused investment products and funds? Not applicable
Has your firm established any policies to foster opportunities for Indigenous employees/people through scholarships, training, hiring, and advancement at your firm?	Has your firm established any policies to foster opportunities for Indigenous employees/people through scholarships, training, hiring, and advancement at your firm? No, and I am not aware of plans to do so in the next 12 months	Has your firm established any policies to foster opportunities for Indigenous employees/people through scholarships, training, hiring, and advancement at your firm? No, but we intend to within the next 12 months	Has your firm established any policies to foster opportunities for Indigenous employees/people through scholarships, training, hiring, and advancement at your firm? Yes	Has your firm established any policies to foster opportunities for Indigenous employees/people through scholarships, training, hiring, and advancement at your firm? I don't know	Has your firm established any policies to foster opportunities for Indigenous employees/people through scholarships, training, hiring, and advancement at your firm? Not applicable
Are considerations related to Indigenous peoples (e.g., respect for rights) incorporated in your firm’s proxy voting guidelines (or, where applicable, those of the proxy advisory firm that makes vote recommendations and/or executes your clients’ votes)?	Are considerations related to Indigenous peoples (e.g., respect for rights) incorporated in your firm’s proxy voting guidelines (or, where applicable, those of the proxy advisory firm that makes vote recommendations and/or executes your clients’ votes)? No, and I am not aware of plans to do so in the next 12 months	Are considerations related to Indigenous peoples (e.g., respect for rights) incorporated in your firm’s proxy voting guidelines (or, where applicable, those of the proxy advisory firm that makes vote recommendations and/or executes your clients’ votes)? No, but we intend to within the next 12 months	Are considerations related to Indigenous peoples (e.g., respect for rights) incorporated in your firm’s proxy voting guidelines (or, where applicable, those of the proxy advisory firm that makes vote recommendations and/or executes your clients’ votes)? Yes	Are considerations related to Indigenous peoples (e.g., respect for rights) incorporated in your firm’s proxy voting guidelines (or, where applicable, those of the proxy advisory firm that makes vote recommendations and/or executes your clients’ votes)? I don't know	Are considerations related to Indigenous peoples (e.g., respect for rights) incorporated in your firm’s proxy voting guidelines (or, where applicable, those of the proxy advisory firm that makes vote recommendations and/or executes your clients’ votes)? Not applicable
If Indigenous rights are not incorporated in your firm’s proxy voting guidelines, does your firm encourage clients to develop their own guidance on proposals related to Indigenous rights?	If Indigenous rights are not incorporated in your firm’s proxy voting guidelines, does your firm encourage clients to develop their own guidance on proposals related to Indigenous rights? No, and I am not aware of plans to do so in the next 12 months	If Indigenous rights are not incorporated in your firm’s proxy voting guidelines, does your firm encourage clients to develop their own guidance on proposals related to Indigenous rights? No, but we intend to within the next 12 months	If Indigenous rights are not incorporated in your firm’s proxy voting guidelines, does your firm encourage clients to develop their own guidance on proposals related to Indigenous rights? Yes	If Indigenous rights are not incorporated in your firm’s proxy voting guidelines, does your firm encourage clients to develop their own guidance on proposals related to Indigenous rights? I don't know	If Indigenous rights are not incorporated in your firm’s proxy voting guidelines, does your firm encourage clients to develop their own guidance on proposals related to Indigenous rights? Not applicable

Question Title

* 4. Please select the appropriate answer for each of the following questions related to your firm's Client Relations.

	No, and I am not aware of plans to do so in the next 12 months	No, but we intend to within the next 12 months	Yes	I don't know	Not applicable
Have you raised Indigenous-focused investment opportunities with any of your Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds)	Have you raised Indigenous-focused investment opportunities with any of your Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds) No, and I am not aware of plans to do so in the next 12 months	Have you raised Indigenous-focused investment opportunities with any of your Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds) No, but we intend to within the next 12 months	Have you raised Indigenous-focused investment opportunities with any of your Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds) Yes	Have you raised Indigenous-focused investment opportunities with any of your Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds) I don't know	Have you raised Indigenous-focused investment opportunities with any of your Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds) Not applicable
Have you raised Indigenous-focused investment opportunities with any of your non-Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds)	Have you raised Indigenous-focused investment opportunities with any of your non-Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds) No, and I am not aware of plans to do so in the next 12 months	Have you raised Indigenous-focused investment opportunities with any of your non-Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds) No, but we intend to within the next 12 months	Have you raised Indigenous-focused investment opportunities with any of your non-Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds) Yes	Have you raised Indigenous-focused investment opportunities with any of your non-Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds) I don't know	Have you raised Indigenous-focused investment opportunities with any of your non-Indigenous clients? (e.g., Raven Indigenous Impact Fund, First Nations Finance Authority bonds) Not applicable
Has your firm supported any of your Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects)	Has your firm supported any of your Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects) No, and I am not aware of plans to do so in the next 12 months	Has your firm supported any of your Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects) No, but we intend to within the next 12 months	Has your firm supported any of your Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects) Yes	Has your firm supported any of your Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects) I don't know	Has your firm supported any of your Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects) Not applicable
Has your firm supported any of your non-Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects)	Has your firm supported any of your non-Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects) No, and I am not aware of plans to do so in the next 12 months	Has your firm supported any of your non-Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects) No, but we intend to within the next 12 months	Has your firm supported any of your non-Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects) Yes	Has your firm supported any of your non-Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects) I don't know	Has your firm supported any of your non-Indigenous clients in investing in Indigenous-focused investment opportunities? (e.g., through the Indigenous-focused investment opportunities listed in Question 1 above or direct investments in Indigenous businesses or major on-reserve projects) Not applicable
Does your firm provide education for management and staff on the history of Indigenous peoples to enable respectful engagement with Indigenous clients? (e.g. the history and legacy of residential schools, the United Nations Declaration on the Rights of Indigenous Peoples, treaties and Aboriginal rights, Indigenous law, and Aboriginal-Crown relations)	Does your firm provide education for management and staff on the history of Indigenous peoples to enable respectful engagement with Indigenous clients? (e.g. the history and legacy of residential schools, the United Nations Declaration on the Rights of Indigenous Peoples, treaties and Aboriginal rights, Indigenous law, and Aboriginal-Crown relations) No, and I am not aware of plans to do so in the next 12 months	Does your firm provide education for management and staff on the history of Indigenous peoples to enable respectful engagement with Indigenous clients? (e.g. the history and legacy of residential schools, the United Nations Declaration on the Rights of Indigenous Peoples, treaties and Aboriginal rights, Indigenous law, and Aboriginal-Crown relations) No, but we intend to within the next 12 months	Does your firm provide education for management and staff on the history of Indigenous peoples to enable respectful engagement with Indigenous clients? (e.g. the history and legacy of residential schools, the United Nations Declaration on the Rights of Indigenous Peoples, treaties and Aboriginal rights, Indigenous law, and Aboriginal-Crown relations) Yes	Does your firm provide education for management and staff on the history of Indigenous peoples to enable respectful engagement with Indigenous clients? (e.g. the history and legacy of residential schools, the United Nations Declaration on the Rights of Indigenous Peoples, treaties and Aboriginal rights, Indigenous law, and Aboriginal-Crown relations) I don't know	Does your firm provide education for management and staff on the history of Indigenous peoples to enable respectful engagement with Indigenous clients? (e.g. the history and legacy of residential schools, the United Nations Declaration on the Rights of Indigenous Peoples, treaties and Aboriginal rights, Indigenous law, and Aboriginal-Crown relations) Not applicable
Do you have any set standards for establishing and maintaining relationships with clients, including rules defining acceptable practices related to entertaining and gift-giving?	Do you have any set standards for establishing and maintaining relationships with clients, including rules defining acceptable practices related to entertaining and gift-giving? No, and I am not aware of plans to do so in the next 12 months	Do you have any set standards for establishing and maintaining relationships with clients, including rules defining acceptable practices related to entertaining and gift-giving? No, but we intend to within the next 12 months	Do you have any set standards for establishing and maintaining relationships with clients, including rules defining acceptable practices related to entertaining and gift-giving? Yes	Do you have any set standards for establishing and maintaining relationships with clients, including rules defining acceptable practices related to entertaining and gift-giving? I don't know	Do you have any set standards for establishing and maintaining relationships with clients, including rules defining acceptable practices related to entertaining and gift-giving? Not applicable