Committed to Responsible Citizenship and Global Engagement 

We believe that our ability to provide our clients with innovative solutions cannot occur without a similar approach to the way we manage our firm, treat our people, and engage the world in which we work and live.


At Guggenheim, our commitment to sustainability and ESG principles begins at home. We believe that our ability to provide our clients with innovative solutions that weigh sustainability and ESG considerations cannot occur without a similar approach to the way we manage our firm, treat our people, and engage the world in which we work and live. This commitment is evidenced by a wide range of policies, programs, partnerships, engagements, and events. Many of these activities are summarized in our annual Impact Report.

As a firm, we maintain a strong corporate culture of responsibility and sustainability by creating a work environment built on acceptance and respect, which fosters individual creativity and attracts and empowers the best and brightest talent to deliver extraordinary results for our clients. We examine every aspect of our business to ensure it is following the most sustainable practices possible—such as promoting efficient electricity usage, encouraging teleconferencing, offering environmentally friendly pantry supplies, and following earth-smart waste management. We provide a diverse and inclusive workforce with an array of professional development programs and community service opportunities.

We further work towards being a responsible firm by utilizing the appropriate governance and fiduciary channels, as well as developing robust compliance and ethics programs. A complete slate of best-in-breed policies and procedures governing our workplace serves to uphold our reputation of integrity and professionalism in the best interest of our clients and ensures our firm and our employees comply with all applicable laws, rules and regulations.

Compliance and Ethics

Guggenheim conducts business and operations with the highest legal and ethical standards by establishing a strong culture of compliance. These standards are integrated into business practices and workflow through prevention, monitoring, education and training, issue management, and ongoing improvement. Furthermore, we hold all third-party vendors to the same legal and ethical standards to ensure their policies, procedures, and practices are consistent with those of the firm.

Diversity and Inclusion

Guggenheim’s Office of Diversity and Inclusion collaborates across the firm to create and implement strategies that reflect Guggenheim’s commitment to a diverse, innovative and inclusive workplace. Employees directly enrich this culture through participation in the following networks and initiatives:

Our commitment to providing equal employment opportunity extends to all aspects of the employment relationship, including recruitment and hiring, training and development, job assignments, promotions and transfers, performance appraisals, compensation, benefits, terminations, and all other terms, conditions, and privileges of employment. Additionally, our Non-Discrimination and Harassment Prevention Policy reinforces our dedication to preserving a workplace free from expressions of bias, prejudice, and harassment.

In 2018, Guggenheim introduced expanded parental leave benefits aligned with the industry’s best-in-class, positioning Guggenheim among the leading firms that offer twelve weeks of paid leave for both mothers and fathers, including adoptive parents.

Professional and Personal Development

Guggenheim supports and encourages professional growth through online training programs, performance assessment, mentoring, tuition reimbursement, and opportunities for internal mobility. In addition, a dedicated Corporate Events team organizes events centered on employee appreciation, engagement, and recognition.

Partnerships

A key tenet of our long-term value philosophy is partnering with leading institutions to promote critical initiatives and to produce research and reports on sustainability. Guggenheim works alongside organizations and stakeholders around the globe that are critical to this work. These organizations include, but are not limited to, the World Economic Forum, the UN Foundation, the World Wildlife Fund, the Natural Capital Project, and the Stanford Global Projects Center.

Corporate Social Responsibility (CSR)

Guggenheim’s CSR practice was launched in 2014 and is committed to catalyzing positive, scalable social change through strategic philanthropic investments and employee engagement. In 2017, CSR staged 155 social impact events across twelve different offices, with 93 percent participation across the firm. Through our CSR program, the firm itself donated a total $3.4 million to different charitable organizations, often at the direction of employees. We partner with organizations to foster transformative impact in their communities through initiatives that affect a wide range of beneficiaries, such as small businesses, urban vitality projects, nonprofits, and the under-served. Guggenheim seeks to contribute to our communities through both Employee Engagement and Strategic Giving programs.

Through our Employee Engagement program, Guggenheim provides Matching Gifts and Volunteer Time Off benefits to all employees, thereby supporting our employees who are dedicating their personal time and resources to nonprofit organizations that matter most to them. Through our Strategic Giving program, Guggenheim commits its own capital to invest in innovative nonprofits that are working to solve the world’s most enduring social challenges.

Guggenheim’s Network for Social Innovation (NSI) is one way we do this. It is built on the premise that Guggenheim can drive greater impact by partnering with young non-profits, since we are able to offer both meaningful financial contributions and significant capacity-building services to early-stage organizations.

Case Study: Network for Social Innovation (NSI)

Guggenheim’s award-winning Network for Social Innovation program makes strategic venture philanthropy investments in early stage nonprofit organizations that use innovative solutions to solve enduring social problems. The program provides partners an initial philanthropic investment of $100,000, as well as “creative capital”—Guggenheim employees’ time, talent, and networks—to help them achieve greater scale and impact for their programs. Guggenheim has now partnered with ten NSI organizations in two separate tranches of investment and plans to open the NSI program to a new round of applicants every other year.

Sustainability Governance

The Guggenheim Investments ESG Oversight Committee, under the direction of the Sustainability Stewardship Council, has ultimate responsibility for overseeing the Firm’s execution and integration of this Statement into our investment strategy and into other relevant firm processes and practices. It is a cross-functional team of experienced executives from various departments ranging from Compliance and Strategy to Risk Management and Investments that regularly reviews this Statement against industry best practices and internal development and integration. On a broader level, the Sustainability Stewardship Council, a cross-functional leadership team comprised of senior executives, oversees the firm’s overarching sustainability strategy and execution.

As part of this oversight, we strive for ongoing dialogue with clients, employees, regulators, business partners, other stakeholders, and third-party experts, to ensure positive outcomes for all related parties. This valued exchange of ideas provides relevant input for our internal discussions and positioning on ESG issues and helps inform our RI decisions. We believe that transparency and stakeholder dialogue are vital to integrating ESG into our investment process. As such, the ESG integration practices of Guggenheim Investments will evolve and improve over time.

 


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Investing involves risk, including the possible loss of principal. Infrastructure investments may be subject to a variety of risks, not all of which can be foreseen or quantified, including operating, economic, environmental, commercial, currency, regulatory, political and financial risks. Investing in a specific sector such as infrastructure is more volatile than investing in a broadly diversified portfolio, as there is a greater risk due to the concentration of holdings in issuers of similar offerings. Sustainability requirements, including environmental, social, and governance (ESG) obligations may limit available investments, which could hinder performance when compared to strategies with no such requirements.




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Guggenheim Investments represents the following affiliated investment management businesses of Guggenheim Partners, LLC: Guggenheim Partners Investment Management, LLC, Security Investors, LLC, Guggenheim Funds Investment Advisors, LLC, Guggenheim Funds Distributors, LLC, GS GAMMA Advisors, LLC, Guggenheim Partners Europe Limited and Guggenheim Partners India Management. Securities offered through Guggenheim Funds Distributors, LLC, an affiliate of Guggenheim, SI, GFIA and GPIM.

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