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CDC International Capital

Assurance [CM1 01.1 - 01.7]

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

Select all that apply

	SSA	Corporate (financial)	Corporate (non-financial)	Securitised
Negative/exclusionary screening
Positive/best-in-class screening
Norms-based screening

CDC IC performs negative screening and general compliance verification:

Overall compliance of the operation with the anti-money laundering and terrorist financing rules. Implementation of the "Know Your Customer" due diligence obligation to assess the company CDC IC invests in.
Geographical negative screening: exclusion of countries belonging to the "Non Cooperative Countries and Territories" and authorities with high risks of money laundering and financing of terrorism, or sanctioned for serious breaches of human rights.
Sectorial negative screening: exclusion of mines munitions and anti-personnel bombs or components and associated equipment, in accordance with the Oslo Convention and Ottawa; exclusion of carbon intensive industries sush as coal and oil in coherence with the CDC Group’s climate strategy; other business industries exclusions can be applied (e.g. alcohol).

For legal reasons

For non-legal reasons

Geographical negative screening: exclusion of countries belonging to the "Non Cooperative Countries and Territories" and authorities with high risks of money laundering and financing of terrorism, or sanctioned for serious breaches of human rights.
Sectorial negative screening: exclusion of mines munitions and anti-personnel bombs or components and associated equipment, in accordance with the Oslo Convention and Ottawa ; other business industries exclusions can be applied (e.g. alcohol).

Type of screening	Checks
Negative/exclusionary screening?	Checks are performed to ensure that issuers meet screening criteria We ensure that data used for the screening criteria is updated at least every 2 years. Automated IT systems prevent our portfolio managers from investing in excluded issuers or bonds that do not meet screening criteria Audits of fund holdings are undertaken regularly by internal audit or compliance functions Other, specify None of the above
Norms-based screening	Checks are performed to ensure that issuers meet screening criteria We ensure that data used for the screening criteria is updated at least every 2 years. Automated IT systems prevent our portfolio managers from investing in excluded issuers or bonds that do not meet screening criteria Audits of fund holdings are undertaken regularly by internal audit or compliance functions Other, specify None of the above

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