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Bank Julius Baer & Co. Ltd.

PRI reporting framework 2017

You are in Organisational Overview » Gateway asset class implementation indicators

Gateway asset class implementation indicators

OO 10. RI activities for listed equities

10.1. Select the direct or indirect ESG incorporation activities your organisation implemented for listed equities in the reporting year.

10.2. Select the direct or indirect engagement activities your organisation implemented for listed equity in the reporting year.

Please explain why you do not.

Julius Baer signed the United Nations-supported Principles for Responsible Investment (PRI) Initiative in September 2014, and we are in the process of incorporating the Principles throughout Julius Baer. As a signatory, we are committed to following the PRI guidelines by incorporating ESG metrics into our investment decision-making and ownership practices. The 1st phase of Responsible Investment implementation focuses on internal ESG integration which took place in 2015 and 2016. In 2016, we've completed the internal alignment and preparation for setting up our Active Ownership approach. We will start the engagement activities after setting up internal Active Ownership policy and process.

10.3. Select the direct or indirect voting activities your organisation implemented for listed equity in the reporting year

10.4. Indicate why you do not cast your votes

Julius Baer signed the United Nations-supported Principles for Responsible Investment (PRI) Initiative in September 2014, and we are in the process of incorporating the Principles throughout Julius Baer. As a signatory, we are committed to following the PRI guidelines by incorporating ESG metrics into our investment decision-making and ownership practices. The 1st phase of Responsible Investment implementation focuses on internal ESG integration which took place in 2015 and 2016. In 2016, we've completed the internal alignment and preparation for setting up our Active Ownership approach. We will start the proxy voting activities after setting up internal Active Ownership policy and process.


OO 11. RI activities in other asset classes

11.1. Select the internally managed asset classes in which you addressed ESG incorporation into your investment decisions and/or your active ownership practices (during the reporting year).

'Other (1)' [as defined in OO 05]

          Structured products, derivatives and other investments which cannot be categorized to the provided asset classes.
        

11.2. Select the externally managed assets classes where you addressed ESG incorporation and/or active ownership in your external manager selection, appointment and/or monitoring processes (during the reporting year)

'Other (1)' [as defined in OO 05]

          Structured products, derivatives and other investments which cannot be categorized to the provided asset classes.
        

11.3. Additional information. [Optional]

Julius Baer Fund Solutions conducts in-depth research and analysis for funds to provide the Julius Baer Responsible Investment Fund Rating (Julius Baer RIFR). The Julius Baer RIFR is a rating expressing fund’s investment risks and opportunities in terms of environmental, social and governance (ESG). The Julius Baer RIFR is expressed on a seven-point scale ranging from AAA (best) to CCC (worst). The Julius Baer RIFR rating is a combination of two qualitative analysis: 1) fund provider 2) fund strategy. 1) Fund provider analysis assesses our business partners on their financially material risks and opportunities arising from ESG factors. We use MSCI ESG ratings when available. When unavailable, we rely on our in-house Julius Baer questionnaire. 2) Fund strategy analysis assesses the fund manager’s investment process regarding the inclusion of ESG factors using our in-house Julius Baer questionnaire.


OO 12. Modules and sections required to complete

You will need to make a selection in OO 12.1 only if you have any voluntary modules that you can choose to report on.

12.1. Select from below any additional applicable modules or sections you would like to report on voluntarily. You are only required to report on asset classes that represent 10% or more of your AUM.

Core modules

RI implementation directly or via service providers

Direct - Listed Equity incorporation

Direct - Fixed Income

RI implementation via external managers

Indirect - Selection, Appointment and Monitoring of External Managers

Closing module

12.2. Additional information. [Optional]


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