NRF Transform abstract

NRF Collaborative Engagement Tool

Safely collaborate with shareholders to promote better business practices. 

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Video Details

Professional investors increasingly collaborate in their stewardship of investee companies. For example, under the UNPRI, investors pledge to be active owners of investee companies and work together in effectively implementing the Principles. However, shareholder collaboration may entail listing disclosure obligations, antitrust investigations or even mandatory takeover bids, among other legal consequences.  

Minimizing these risks is key, but challenging:

Investment Manager

  • Legal position under multiple legal restrictions unclear
  • Non-compliance may have severe consequences
  • Delays in collaborative activities or missed business opportunities

Legal & Compliance

  • Increased repetitive legal support requests
  • Monitor multiple laws and regulations in several jurisdictions
  • Lack of visibility over collaborative activities
  • Demonstrate auditable control of legal risks 

How it works

The NRF Collaborative Engagement Tool allows investors to collaborate confidently while reducing the burden on legal teams to manage the associated risks. Our global team of lawyers create a questionnaire based on multiple legal topics and your most common collaboration methods.

Investment managers then complete the questionnaire and receive a recommendation on whether to proceed. Only unclear or unusual scenarios go to Legal or Compliance for further guidance.

Questionnaire responses and final recommendations are stored and can be visualized on dashboards for reporting, audit, and marketing.

Abide by & demonstrate compliance with UNPRI

Principles 2 and 5 of the UNPRI state that investors must work together to be active owners of investee companies. Such shareholder collaboration can lead to significant legal risks.  

The NRF Collaborative Engagement Tool addresses these problems by:

  • Managing legal risks, enabling safer stewardship activities.
  • Documenting each instance of collaboration, storing data which can be used to evidence compliance with UNPRI or relevant legal regimes. 

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Reduce risk

Manage multiple legal risks across several jurisdictions with NRF’s clear legal guidance

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Tailored to fit

Guidance provided on your methods of shareholder collaboration in your jurisdictions of operation

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Evidence control

Data on each instance of collaboration is stored to demonstrate control of legal risks for audit.


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