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Financial Strategies

A TRUE GLOBAL REACH

Since 2008, RSF Holdings has offered its clients value-added investment solutions. Despite the fact that since our inception, our investment strategies, clients, and assets have all increased significantly, there are a few guiding principles that have remained constant. These are what we refer to as our guiding principles:
1. Always act in the clients' best interests
2. Conduct yourself in a moral and legal manner.
3. Be fiercely competitive to succeed.
4. We base our investment strategies on evidence-based research
5. Place a focus on financial stability
6. Provide chances for our employees to contribute to both our success and their own success.

Following these guidelines has been beneficial for us, and we think it's the secret to generating long-term client satisfaction and, as a result, to our success as a firm. These principles guide our approach to responsible investing, from the investment strategies we recommend to clients to the way our company operates.

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team-based methodology

We employ a team-based approach when implementing responsible investment for our investment strategies, keeping with our team-based approach to all investment processes. Members of our Strategy Investment Research, Investment Analytics & Data, Investment Stewardship, and Portfolio Management teams put in a lot of work to conduct responsible investments. Our Head of Responsible Investment works with these various groups to organize ESG activities. With a dotted line to one of our Co-CEOs, the Head of Responsible Investment reports to our Global Head of Portfolio Management.

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Investment philosophy and principles

Our investment strategy is grounded in the idea that prices on liquid capital markets accurately reflect all information that is available to the general public. Information on a portfolio company's strategy, financial and nonfinancial performance, risk, capital structure, social and environmental impact, and corporate governance are just a few examples of what is covered. As a result, we think that the prices of securities reflect the overall risk and return expectations of investors and that prices are driven toward fair value by competition among market participants.

Despite the fact that we think market prices do reflect a company's ESG policies, we also think that ESG standards can be used to reduce risk and/or boost investment returns for our clients. Particularly, we think that:
ESG factors should be incorporated into portfolios to manage risks. Additionally, investment managers should carefully integrate ESG where clients want investment solutions that also aim to achieve quantifiable ESG outcomes so that the loss of diversification brought on by ESG considerations does not significantly affect expected returns.

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ESG investment processes and strategies

By incorporating ESG factors broadly into all of our investment strategies and by providing specialized equity and fixed income strategies that aim to achieve particular ESG-related outcomes, we reflect the aforementioned ESG beliefs.
ESG factors are incorporated into our investment processes for risk management purposes. We begin by creating our portfolios using the following principles of investing:
1) Targeted return drivers backed by solid research;
2) Diversify among issuers, industries, and nations as appropriate;
3) Daily price information should be taken into account, and portfolios should be systematically implemented by carefully balancing expected returns, costs, and risks.

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Current Ownership

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Once we buy a security, our job as a client's investment advisor is not done. We believe that better governance practices may lead to higher realized returns through higher future cash flows to shareholders or a lower discount rate used by the market, which is why our Investment Stewardship team promotes best-in-class governance practices, including oversight of material ESG-related risks.
Engagement, proxy voting, and involvement in trade shows and organizations are all part of our stewardship efforts.
For more details on our active ownership activities, please refer to our Investment Stewardship Statement and Annual Stewardship Report.

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    Targeted ESG strategies

    We provide targeted sustainability and social strategies that incorporate ESG and also add more emphasis on ESG criteria by aiming for particular ESG outcomes. ESG factors are incorporated into these strategies' widely diversified, value-added systematic investment solutions through cutting-edge processes. Our track record managing sustainable and socially-screened strategies, which spans more than a decade.

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Contribution to the industry

Along with the investments we make on our clients' behalf, we also work to enhance the operation of the investment sector.
Among other things, these efforts include collaborating with regulators to enhance market mechanisms, promoting transparency, as well as defending our clients' interests all throughout the investment process. In an effort to contribute to the improvement of market mechanisms, we have frequently provided regulators with input.
For instance, we vehemently opposed the proposed practice when the U.S. Securities and Exchange Commission ("Commission") requested feedback on a pilot program for wider bid-ask spreads for small-cap issuers.
The Commission ceased the proposed changes after the pilot program because it realized that smaller bid-ask spreads ultimately benefited investors.

Local Community and Industry Involvement

We actively look for opportunities to make a difference by collaborating with regional organizations as well as organizations from across the industry as part of our commitment to the communities that we serve and in which we operate.

Our employees took part in numerous local community activities in 2019 with groups like the Red Cross, Junior Achievement, Second Harvest, and the Salvation Army, as well as food banks like Second Harvest and Central Texas. Over 1,400 hours were donated by Our employees to these causes, helping to better their local neighborhoods.

We also kept increasing our participation in and support of a number of industry programs that target underrepresented talent outside of local organizations. This might be done through particular universities, like the Women in Investing Conference at Cornell or the Women in Investment Management at Chicago Booth. The Robert S. Toigo Foundation, for example, focuses on the professional development and increased leadership of underrepresented talent in the financial services sector. Since 2013, we have collaborated with the Toigo Foundation. Along with taking part in Toigo's spring Catapult event every year, RSF has also hosted Toigo's flagship annual leadership conference, the Fall Apex, in 2014, 2016, 2019, and is currently in discussions to host in 2021.

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2020 – an unprecedented year

The necessity of an integrated strategy for building strong and robust businesses has been highlighted by the recent unprecedented circumstances, supporting the investment case for ESG. The importance of resiliency and long-term sustainable strategies has been demonstrated by the current crisis. As the pandemic spread, our team reacted quickly, and a cross-portfolio Covid-19 taskforce was formed in early March 2020 to provide a forum for portfolio company executives to exchange experiences and best practices.

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Facilities and Operations

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We work to reduce the negative effects of our business operations on the environment by developing offices, plans, and procedures. RSF's corporate office in Charlotte and our Charlotte office are where the majority of our employees are based. The only locations that RSF owns are these two offices, and they have both won prizes for outstanding sustainability. Austin Energy Green Building awarded RSF's Delware headquarters a three-star rating, and our Charlotte office received a LEED Gold certification.

We have been examining ways to lessen our carbon footprint as part of our ongoing efforts to strengthen our sustainability procedures. In March 2020, we also publicly endorsed the Taskforce for Climate-Related Financial Disclosures (TCFD).