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SKY Harbor Capital Management

PRI reporting framework 2017

You are in Direct - Fixed Income » ESG incorporation in actively managed fixed income » (A) Implementation: Screening

(A) Implementation: Screening

FI 07. Types of screening applied

07.1. Indicate the type of screening you conduct.

Select all that apply
Corporate (financial)
Corporate (non-financial)
Negative/exclusionary screening
Positive/best-in-class screening
Norms-based screening

07.2. Describe your approach to screening for internally managed active fixed income

Negative screening based on ESG factors is not a regularly applied component in our credit research and investment process.  We do, however, offer exclusionary screening at an individual mandate level for clients with specific RI requirements, as well as apply exclusionary screening for funds which comply with the Convention on Cluster Munitions.

07.3. Additional information. [Optional]

FI 08. Negative screening - overview and rationale

08.1. Indicate why you conduct negative screening.

Corporate (financial)

Corporate (fin)

Corporate (non-financial)

Corporate (non-fin)

08.2. Describe your approach to ESG-based negative screening of issuers from your investable universe.

Exclusionary screening is applied in meeting the RI/ESG requirements as prescribed for certain segregated accounts and for funds which comply with the Convention on Cluster Munitions.

08.3. Additional information. [Optional]

FI 09. Examples of ESG factors in screening process (Private)

FI 10. Screening - ensuring criteria are met

10.1. Indicate which systems your organisation has to ensure that fund screening criteria are not breached in fixed income investments.

Type of screening
Negative/exclusionary screening?

10.2. Additional information. [Optional]

SKY Harbor’s pre-trade compliance order generation tool as well as our post-trade compliance application are custom-coded for any ESG/SRI guidelines and constraints. Full audit trails and security access controls are maintained at each step of our electronic straight-through processing system to ensure client requirements are consistently met.  Compliance and the Operations team regularly conducts testing to ensure all constraints are met and in effect.