Preqin ESG Solutions 67 ESG Transparency KPIs Disclosure Guidance Indicator Guidance _____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ The ownership structure of the GP Ownership structures speci昀椀cally refer to whether the General Partner is publicly listed (if they have an investor relations section on their website or if they are listed on any global exchange and have a stock ticker, for instance) or if they list the owner(s) of the company. Registered investment advisor or a This speci昀椀cally refers to whether the 昀椀rm is regulated by a securities regulator, registered broker dealer status either as a registered investment advisor, broker, or other regulated entity that can legally give investment advice. General partner 昀椀rm-level governing, This is meant to simply capture the disclosure of any executives or governing leadership, or executive bodies, bodies at the 昀椀rm level. This may include disclosure of the board of directors, including the board of directors Chief Executive O昀케cer or executive team, or any other 昀椀rm leadership. Female representation on the Disclosure of the gender of members of a 昀椀rm’s board of directors or the board of directors breakdown of gender on the board by percentage which indicate the inclusion of at least one female board member. The amount of female representation on the board is immaterial in this instance, as we are assessing transparency and not 昀椀rm performance. This may also be disclosed through board member photos, clearly indicating the existence of a female board member. Any mention of ESG Mention of ESG on a 昀椀rm’s website, policies, reports, or other collateral. This consideration in operations indicator is considered disclosed if any material suggests that the company is using ESG in some way, either in their portfolio management or in their own business operations, such as management of diversity or carbon emissions. This does not include philanthropy or CSR initiatives, but must speci昀椀cally mention information about environmental risk management, labor risk management, or governance issues. A code of conduct policy for Disclosure of a code of conduct policy, which may take the form of an ethics employees code, bribery code, or other code of conduct that employees must abide by. An insider trading policy This is marked as disclosed if the 昀椀rm speci昀椀cally mentions the existence of an insider trading policy or discloses the policy itself. This policy or mention of its existence may be included within a disclosed code of conduct policy, for example. An antimoney laundering and/or This is marked as disclosed if the 昀椀rm speci昀椀cally mentions the existence of an "know your client" (AML KYC) policy antimoney laundering, "know your client" (KYC) policy or discloses the policy itself. A whistle-blower or anonymous This is marked as disclosed if the 昀椀rm speci昀椀cally mentions the existence of a incident reporting process whistle-blower policy or discloses the policy itself. This may include a whistle- blower or anonymous hotline for reporting breaches in conduct, or another system for reporting internal issues anonymously. A modern slavery or human rights This is marked as disclosed if the 昀椀rm speci昀椀cally mentions the existence of a policy modern slavery, human tra昀케cking, or human rights policy or discloses the policy itself. This may also include policies applicable to parent or subsidiary companies. Adherence to any ISO standards ISO standards are speci昀椀c standards set by the International Organization for Standardization. A full list of standards is available here. The 昀椀rm may adhere to any ISO standard for this indicator to be considered disclosed. General partner 昀椀rm-level This is marked as disclosed if the 昀椀rm speci昀椀cally mentions the existence of a privacy policy privacy policy or discloses the policy itself, including those of parent company. This will also be considered disclosed if a 昀椀rm adheres to ISO standards or JIS Q standards related to privacy, data protection or data management. ↗ Back to Contents