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BNP Paribas Asset Management

PRI reporting framework 2017

Basic Information [OO 01 - 09] Gateway asset class implementation indicators [OO 10 - 12]

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Implementation not in other modules [SG 12 - 16] Innovation [SG 17]

Indirect – Manager Selection, Appointment and Monitoring

Overview [SAM 01 - 02] Selection [SAM 05 - 06] Appointment [SAM 07.1 - 07.2-5] Monitoring [SAM 08 - 10] Outputs and outcomes [SAM 11 - 12] Communication [SAM 13]

Direct - Listed Equity Incorporation

Overview [LEI 01 - 02] ESG incorporation in actively managed listed equities [LEI 03 - 12] Implementation processes [LEI 03 - 12] (A) Implementation: Screening [LEI 06 - 08] (B) Implementation: Thematic [LEI 09] (C) Implementation: Integration of ESG issues [LEI 10 - 12] Outputs and outcomes [LEI 14 - 16] Communication [LEI 17]

Direct - Listed Equity Active Ownership

Engagement [LEA 01 - 16] Overview [LEA 01 - 02] Process [LEA 03 - 10] Process for engagements run internally [LEA 03 - 04] Process for engagements conducted via collaborations [LEA 05 - 06] General processes for all three groups of engagers [LEA 09 - 10] Outputs and outcomes [LEA 11 - 15] Communication [LEA 16] (Proxy) voting and shareholder resolutions [LEA 17 - 27] Overview [LEA 17] Process [LEA 18 - 22] Outputs and outcomes [LEA 23 - 26] Communication [LEA 27]

Direct - Fixed Income

Overview [FI 01 - 03] ESG incorporation in actively managed fixed income [FI 04 - 16] Implementation processes [FI 04 - 06] (A) Implementation: Screening [FI 07 - 10] (C) Implementation: Integration [FI 14 - 16] ESG incorporation in passively managed fixed income [FI 17] Fixed income - Engagement [FI 18 - 20] Outputs and outcomes [FI 21 - 22] Communication [FI 23]

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You are in Indirect – Manager Selection, Appointment and Monitoring » Listed Equity and Fixed Income Strategies

Listed Equity and Fixed Income Strategies

SAM 03. Breakdown by passive, quantitative, fundamental and other active strategies (Private)

SAM 04. ESG incorporation strategies

04.1. Indicate which of the following ESG incorporation strategies you require your external manager(s) to implement on your behalf:

Active investment strategies

Active investment strategies	Listed Equity	FI - SSA	FI - Corporate (financial)?	FI - Corporate (non-financial)?	FI - Securitised?
Screening
Thematic
Integration
None of the above

Passive investment strategies

Passive investment strategies	Listed Equity	FI - SSA	FI - Corporate (financial)?	FI - Corporate (non-financial)?	Fixed income -Securitised?
Screening
Thematic
Integration
None of the above

04.2. Explain how you integrate ESG factors in the selection, appointment and monitoring of your passive funds

BNP IP does not delegate the management of passive strategies to external managers (the management is done internally by a dedicated entity called THEAM). Otherwise, regarding the selection of external ETFs or index funds performed by FQA for its clients, we apply the same methodology for active funds when it comes to analyse the ESG /SRI investment approach of passive strategies. For SRI/ ESG ETFs, we collect and analyse detailed information about the ESG filters applied to the indices that the ETFs track.

04.3. Additional information. [Optional]

For the answers provided to SAM 04.1, this only applies to the BNP IP internal funds which management is delegated to external managers; in this case we require that those external managers respect the minimum ESG practices implemented by BNPP IP (notably through the exclusion of a list of companies that do not respect UN Global Compact principles, or that are involved in controversial activities/businesses).

Regarding the buy-lists of external funds in which BNP Paribas Asset Management/BNPP IP funds of funds can invest, FQA collects and analyses detailed information about Responsible Investment policies applied by the external managers and is thus able to communicate / provide an opinion the level of adherence of those external managers vis-à-vis the BNP IP Responsible Investments practices and beliefs.

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