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Fund Manager’s Name and Address
Dear Sir or Madame:
I have recently become aware of an important new risk factor for investors that I
wish to bring to your immediate attention so that it might be incorporated into your
management of my investments. As profiled in a recent “60 Minutes” segment, there are
some 400 publicly traded companies that do business in U.S. State Departmentdesignated terrorist-sponsoring states or are linked to the proliferation of weapons of
mass destruction and ballistic missiles. According to the Securities and Exchange
Commission, the fact that some companies maintain substantial business relationships
with these governments can represent a material risk to investors.
As these 400 companies include many of the world’s largest firms, it is likely that
an investment portfolio such as my own has significant exposure to this new risk category
– so-called global security risk. Accordingly, I am writing to request that you provide me
with a list of companies in which I am currently invested that, as described above, have
business relationships with terrorist-sponsoring states or that have ties to proliferationrelated concerns. A brief description of such business ties would be appreciated as well.
I also request to be informed of what steps have been taken in the management of my
investments to ensure that global security risk has been taken into account in the course
of your firm’s due diligence assessments.
As the markets are being increasingly responsive to global security risk -- given
the highly-charged reaction of the public as well as the increased attention to this risk
category by the corporate governance community and media -- I feel strongly that my
investment manager should be equipped with whatever independent research necessary to
mitigate the risks to share value of such global security concerns. Should it be necessary
to seek outside assistance on this topic, I recommend contacting Conflict Securities
Advisory Group, a company that specializes in helping investment managers perform
global security risk due diligence ( I appreciate your
prompt attention to this matter and await a communication from you regarding the
information I have requested above.
Kind regards,