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PRI reporting framework 2018

You are in Direct - Listed Equity Incorporation » ESG incorporation in actively managed listed equities » Implementation processes » (A) Implementation: Screening

(A) Implementation: Screening

LEI 04. Types of screening applied

04.1. Indicate and describe the type of screening you apply to your internally managed active listed equities.

Type of screening

Screened by


As of year end, our clients had us implement exclusionary screens across several principles, including USCCB, Tobacco, Controversial Weapons/Guns, Thermal Coal, Private Prisions, MacBride Principles, and Sudan. 



04.2. Describe how the screening criteria are established, how often the criteria are reviewed and how you notify clients and/or beneficiaries when changes are made.

Clients notify us of their desired exposure when developing investment guidelines. While the types of restrictions we implement are directed by the client, they are almost entirely ESG-related. Clients typically provide their own list, or we can provide assistance. To oversee this process, we use third-party compliance-management systems, along with an internally built system.  

LEI 05. Processes to ensure screening is based on robust analysis

05.1. Indicate which processes your organisation uses to ensure screening is based on robust analysis.

05.3. Indicate how frequently third party ESG ratings are updated for screening purposes.

05.5. Additional information. [Optional]

LEI 06. Processes to ensure fund criteria are not breached (Private)