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True Responsibility

Summary of the Axonic Environmental, Social and Governance Policy. For a full version of the policy please reach out to investorrelations@axoniccap.com.  Axonic became signatories of the UN-supported Principles for Responsible Investment (PRI) on the 13th April 2021. Axonic believes the PRI is fast becoming a global standard for investment managers’ ESG alignment and transparency.

This policy sets out Axonic Capital LLC (“Axonic”)’s commitment and approach to integrating Environmental, Social and Governance (“ESG”) factors into the investment process as well as across the culture and operations of the firm.

It is our observation that ESG integration in structured credit strategies somewhat lags corporate credit and equities, where ESG disclosures and data are readily available from corporate entities as well as third-party ESG ratings providers. Axonic has established the most appropriate ESG integration techniques currently suited to its strategies and plans to continue developing practices and procedures as data becomes more readily available within our asset classes.

Axonic’s ESG culture has been developed by its Partners and senior management, who maintain oversight and accountability of Axonic’s approach to ESG. Axonic has established an ESG Committee consisting of senior individuals representing a range of business areas. The ESG Committee has formal responsibility for Axonic’s ESG strategy, and for implementing ESG initiatives at a firm and fund level.

This ESG Policy covers the approach to responsible investing for the majority of assets under management of Axonic. The primary objective of incorporating ESG factors into investment analysis and decisions is to manage potential risks and opportunities which may have a financial impact and maximize returns. This aligns with the overall investment objective of the funds that Axonic manages as well as our fiduciary duty to maximize returns for investors.

Due to the nature of the asset classes that Axonic primarily invests in and timing of certain investment opportunities, in some cases, access to detailed research relating to ESG risks and opportunities can be limited. As such, Axonic has developed an ESG integration process which seeks to capture relevant material ESG risks to each asset class where applicable.

In addition to the ESG approach deployed within the investment process, Axonic believes it is important to operate its own business in line with good ESG practices. As such, Axonic has implemented a series of business initiatives across the three pillars of Environmental, Social and Governance. The ESG Committee is responsible for ESG initiatives at the management company level and is constantly seeking to improve and enhance Axonic’s own ESG culture.

  • Environmental initiatives focus on waste management (with particular focus on paper and plastics), energy efficiency and travel practices with an objective of minimizing Axonic’s overall impact on the environment.
  • Social initiatives focus on diversity and inclusion, employee wellbeing, and external engagement.
  • Governance initiatives focus on internal governance structures, policies, memberships of industry bodies, code of ethics, remuneration, transparency, conflicts of interest, segregation of duties, background checking, business continuity, cybersecurity, whistleblowing and supply chain monitoring.

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