Engagement policy for Key Stakeholders

1.      ABSTRACT

This policy outlines the comprehensive guidelines for engaging with key Stakeholders (as applicable) of 3one4 Capital (“Fund”). The goal is to foster robust relationships, ensure transparent communication, and align stakeholder interests with the Fund’s strategic objectives.

Our commitment to stakeholder engagement is critical to ensuring sustainable long-term value creation. This policy details our approach to engaging with key Stakeholders (as applicable), promoting responsible investment practices, and maintaining high standards of corporate governance and ethical conduct.

2.      DEFINITIONS

(i)    “Co-investors” means other investors who participate alongside the Fund in investment opportunities.

(ii)   “Community and Industry Associations” means organizations that represent the interests of specific industries or communities and work to advance common goals.

(iii) “Limited Partners” means investors who provide capital to the Fund.

(iv)  “Manager” means 3one4Capital Advisors LLP and / or 3one4 Capital Management LLP and / or 3one4 Capital FME IFSC LLP.

(v)   “Portfolio Companies” means companies in which the Fund has invested.

(vi)  “Regulatory Bodies” means governmental or other regulatory organizations that oversee the Fund's compliance with laws and regulations.

(vii)   “Scheme” means an alternative investment fund or scheme managed by the Manager.

(viii) “Service Providers” means external entities that provide legal, accounting, advisory, or other services to the Fund.

(ix)  “Stakeholders” shall include Limited Partners, Portfolio Companies, Co-investors, Service Providers, Regulatory Bodies, and Community and Industry Associations.

3.      ENGAGEMENT PRINCIPLES

Our engagement principles are foundational to our interactions with Stakeholders (as applicable). These principles guide our decisions and interactions, ensuring that we foster strong relationships, promote transparency, and achieve mutual goals.

(i)     Transparency

·       Information sharing: We commit to providing clear and comprehensive information to Stakeholders (as applicable) about the Fund’s performance, strategic initiatives, and any significant developments.

·       Open communication: We encourage open dialogue with all Stakeholders (as applicable), facilitating regular updates and feedback mechanisms to address concerns and suggestions.

(ii)    Responsiveness

·       Timely Responses: We ensure timely responses to stakeholder inquiries and concerns, maintaining efficient communication channels.

·       Proactive Engagement: We proactively engage with Stakeholders (as applicable) to anticipate and address potential issues before they escalate.

(iii)  Alignment

·       Strategic Goals: We align our engagement efforts with the strategic goals of the Fund, ensuring that all Stakeholders (as applicable) understand and support our vision and objectives.

·       Mutual Interests: We seek to align the interests of the Fund with those of our Stakeholders (as applicable), fostering collaboration and shared success.

(iv)   Accountability

·       Regular Reviews: We conduct regular reviews of our engagement practices to ensure continuous improvement and alignment with best practices.

4.      ENGAGEMENT WITH STAKEHOLDERS

A.    Limiter Partners: Limited Partners are critical partners for us and we strive to provide them with comprehensive and transparent information about our activities and performance.

·       Reporting: We provide detailed metrics in relation to fund performance and investor related metrics. These reports include information on fund performance, investment strategy, ESG considerations, etc ensuring our investors are well-informed about our activities and progress.

·       Communication: We maintain open lines of communication with our Limited Partners through regular updates and scheduled meetings. We proactively share information about significant fund developments, strategic decisions, ESG considerations, and market conditions. This ongoing communication helps keep our investors engaged and informed about the fund's trajectory and any relevant changes in the investment landscape.

B.    Portfolio Companies: Our Portfolio Companies are at the core of our operations. We provide them with the support and resources they need to achieve their business goals.

·       Support: We provide strategic guidance and leverage our team's internal expertise to assist our Portfolio Companies. We facilitate connections with key industry contacts and offer insights into best practices tailored to the company’s specific nature and stage of development

·       Monitoring: We conduct regular check-ins to monitor progress, identify challenges, and offer tailored support via ongoing communications, review of the financials/MIS etc and ensure alignment with our fund objectives.

·       Value addition: We leverage our network to create value for Portfolio Companies through introductions to potential clients, partners, and Co-investors. We facilitate knowledge sharing and collaboration on strategic initiatives.

C.    Co-investors: Collaboration with Co-investors is essential for achieving our investment goals. We work closely with these partners to ensure alignment and maximize the impact of our investments.

·       Collaboration: We build strong relationships with Co-investors to facilitate deal flow and co-investment opportunities. We organize networking events to foster collaboration and shared learning.

·       Information Sharing: We actively share relevant information and updates regarding investment opportunities, market trends, and portfolio company performance with Co-investors (subject to confidentiality, as applicable). This transparency helps in making informed decisions and strengthens our collaborative efforts.

D.    Service Providers: Our Service Providers play a crucial role in supporting our operations. We engage with Service Providers that demonstrate a commitment to high standards of service and ethical conduct.

·       Engagement: We maintain professional relationships with legal, accounting, and other Service Providers to ensure smooth operations and compliance with industry standards. We engage Service Providers with demonstrated competencies and require them to adhere to our guidelines.

·       Evaluation: We regularly evaluate Service Providers’ performance based on key criteria. We incorporate specific clauses into service contracts and seek feedback to ensure high-quality, responsible services.

E.     Regulatory Bodies: Compliance with regulatory requirements is fundamental to our operations. We proactively engage with Regulatory Bodies to ensure adherence to standards and stay informed of regulatory changes.

·       Reporting and compliance: We ensure timely and accurate reporting to Regulatory Bodies, highlighting our performance and compliance. We maintain comprehensive records of our activities and outcomes.

·       Engagement: We proactively engage with Regulatory Bodies to stay informed of changes in the regulatory environment. We participate in consultations and provide feedback on proposed regulations.

F.     Community and Industry Associations: Active participation in community and industry associations is vital for advancing our goals. We engage with these organizations to promote best practices and contribute to the broader investment ecosystem.

·       Participation: We actively participate in industry associations and community initiatives to stay abreast of trends and contribute to the investment ecosystem actively. We support industry efforts to promote standards and best practices.

·       Industry Contributions and Thought Leadership: We contribute to and collaborate on the development of industry reports, white papers, and research publications. By sharing our insights and data, we help shape industry standards, highlight emerging trends, and provide valuable information that benefits the broader investment community. Our contributions aim to advance collective knowledge and support the development of best practices within the sector.

·       Networking: We attend industry events, conferences, and seminars to network with peers and stay informed about market developments. We share insights and learnings with the broader investment community.

5.      COMMUNICATION AND DISCLOSURES

Transparency is a cornerstone of our strategy. We are committed to providing comprehensive and transparent disclosures about our activities and performance.

• Quarterly Updates: We provide quarterly updates to our Stakeholders (as applicable), including investors, Portfolio Companies, and partners, highlighting key developments and performance metrics.
• Regulatory Reporting: We ensure timely and accurate reporting to Regulatory Bodies, adhering to all applicable laws and regulations. We maintain comprehensive records of our activities and outcomes.
• Stakeholder Communication: We maintain open lines of communication with our Stakeholders (as applicable), providing regular updates and seeking feedback on our initiatives. We ensure that our Stakeholders (as applicable) are well-informed about our efforts and progress.

6.      REPORTING AND RESOLVING CONCERNS

We are committed to maintaining the highest standards of ethical behaviour and accountability. We provide a clear and confidential channel for Stakeholders (as applicable) to report any concerns or violations of our policies.

• Reporting Mechanism: Stakeholders can report concerns or questions regarding this policy to (a) in case of Limited Partners to ir@3one4capital.com; and (b) any other Stakeholders to notices@3one4capital.com. We ensure that all reports are handled with confidentiality and integrity.
• Resolution Process: We have a formal process in place to investigate and resolve any reported concerns. This includes identified team members responsible for reviewing reports, conducting investigations, and taking appropriate action to address issues.
• Follow-up and Feedback: We provide regular updates to Stakeholders (as applicable) who report concerns, ensuring transparency and accountability throughout the resolution process. We also seek feedback on the resolution process to identify areas for improvement.

7.      Conclusion

This policy outlines our approach to engaging with key Stakeholders, emphasizing our commitment to transparency, collaboration, and mutual growth. By adhering to these principles and practices, we aim to build strong, productive relationships with our Limited Partners, Portfolio Companies, Co-investors, Service Providers, Regulatory Bodies, and industry associations.

Our engagement strategy is designed to ensure that all Stakeholders are well-informed, aligned with our strategic objectives, and actively involved in our journey. Through detailed reporting, open communication, and proactive collaboration, we strive to achieve our investment goals and contribute positively to the broader investment ecosystem.

We are dedicated to upholding the highest standards of professionalism and integrity in all our interactions. By continually refining our engagement practices and embracing feedback, we aim to create lasting value and support the sustainable success of our fund and its Stakeholders.

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