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Wells Fargo Asset Management

PRI reporting framework 2018

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

(A) Implementation: Screening

FI 04. Types of screening applied

04.1. Indicate the type of screening you conduct.

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

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

We are able to incorporate most client screening requests, provided that they do not substantially impact the team's ability to effectively deliver its strategy to the client. We carefully review clients' guidelines to ensure that we can invest within the investment style, given the clients' restrictions.

04.3. Additional information. [Optional]


FI 05. Negative screening - overview and rationale

05.1. Indicate why you conduct negative screening.

SSA

SSA

Corporate (financial)

Corporate (fin)

Corporate (non-financial)

Corporate (non-fin)

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

Negative screening is incorporated by client request and is designed to align with specific client needs. We are able to incorporate most client screening requests, provided that they do not substantially impact the team's ability to effectively deliver its strategy to the client. They carefully review clients' guidelines to ensure that they can invest within their style, given the clients' restrictions.

05.3. Additional information. [Optional]


FI 06. Examples of ESG factors in screening process (Private)


FI 07. Screening - ensuring criteria are met

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

Type of screening
Checks
Negative/exclusionary screening?

07.2. Additional information. [Optional]

WellsCap Compliance utilizes front-end compliance systems Bloomberg Asset Investment Manager (AIM) to monitor trading activities to prevent violations to client guidelines. Front-end portfolio monitoring systems allow WellsCap to perform compliance checks throughout the trade process: (i) at order entry, (ii) allocation, and (iii) trade completion (including changes caused by market conditions) and provides the ability to generate exception and notification reports.


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