Submission – Manager Award

Manager of the Year Award

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The Manager of the Year Award recognizes portfolio managers who have demonstrated outstanding caliber in the following areas:
- Leadership in establishing reasonable care and prudent judgment when managing clients’ assets
- Other ways in which the portfolio manager has been shown alignment with investors’ interests
- The portfolio manager’s response to a challenging situation and the outcome
- Lessons learned from mistakes made

Company name*

Flagship strategy name*

Flagship strategy ISIN*

Total aggregated AUM including all share classes and mandates*

1. Please enter the name/s of the portfolio manager/s.

Collectively referred to as “they or their”, even there is only 1 manager we are making references. Note: Please keep only one manager per row, add extra rows if necessary. Please follow this sequence when answering question 2-4.

2. What are their key portfolio responsibilities (example: Deputy CIO and lead portfolio manager of the Asian equities strategy)?

Maximum 100 words.

3. How long have they worked at the current firm?

(Years and Months)

4. Have they made any compliance or regulatory breaches in the last 15 years?

This includes breaches caused in previous roles played and/or previous firms.

Yes

5. If the answer is Yes for Question 4, Please briefly describe the breach, actions taken to correct the transgression and steps to prevent further breaches.

Maximum 200 words. If you prefer not to disclose such information, please write “Will not disclose”.

6. Would you please describe the most challenging issue facing the portfolio manager/s during COVID-19? The problem should be related to the portfolio, risk management, the team led by the portfolio manager, investment philosophy/process/approach, alignment with investors, or other relevant areas.

Maximum 300 words.

7. What steps did the portfolio manager/s take to address the issue/s described above? What was the outcome? How did the portfolio manager/s demonstrate leadership, investment insight, innovation, creativity in solving problems; risk management; alignment with investors’ interests?

Maximum 300 words.

8. What were the key lessons learned from addressing the issue/s discussed above?

Maximum 200 words.

9. What is the approach and style of this flagship strategy, such as contrarian, deep-value, etc., and what is the manager/s conviction? What do they favor, and how do they cascade their beliefs to the team?

Maximum 300 words.

10. Please provide an example where the manager/s helped avoid value traps, stayed true to the style, and how their long tenure(s) in the industry helped them gain the perspective of multiple cycles?

Maximum 300 words.

11. What is the manager/s current overweight/underweight? Has then been a long-standing overweight/underweight or a position that’s been changed significantly within the last six months? What drives a stock/sector bet? Would you please provide a real example of a positioning?

Maximum 300 words.

12. What is the manager/s conviction of ESG and its implementation? What triggered the conviction, and what was the initial objective for incorporating ESG into the investment process?

Recommended supplementary documents
- Factsheet of the fund/s managed by the contestant
- A complete professional history
- Charts and other documents to support the example given, where appropriate
- Other relevant background or supporting information

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Manager of the Year Award

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