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PRI reporting framework 2018

You are in Direct - Listed Equity Active Ownership » Engagement » Overview


LEA 01. Description of approach to engagement

New selection options have been added to this indicator. Please review your prefilled responses carefully.

01.1. Indicate whether your organisation has a formal engagement policy.

01.3. Indicate what your engagement policy covers:

01.4. Provide a brief overview of your organization’s approach to engagement

There is both a "positive" engangement process as well as a "negative" engagement process.

Positive engagement: motivation for investability

The aim of positive engagement is to motivate companies via contacting them (letter) to take the necessary steps to be investable. These companies either do not violate any exclusion criteria, however, do not reach the investment threshold or they violate exclusion criteria but are above the investment threshold. KEPLER receives the potential for improvement for every company by oekom research AG. Positive engagement is done bi-annualy.

Negative engagement: in case of any violation of exclusion criteria

oekom research AG quarterly sends the new investment universe including those companies which violate an exclusion criterion. KEPLER contacts these companies via letter, including an explanation of the violation as well as the consequence: sale of stocks (equities or bonds). In case the company answers, oekom research AG undertakes the following dialogue with the company. The maximum period between publication of any breach and final sale is 4 months.

01.6. Additional information [optional]

LEA 02. Reasoning for interaction on ESG issues

02.1. Indicate the method of engagement, giving reasons for the interaction.

Type of engagement

Reason for interaction

Individual/Internal staff engagements
Collaborative engagements

Please specify why your organisation does not engage via collaborative engagements.

We do engage via internal staff, however, not via collaborative engagement so far. Sometimes, this has also financial reasons. This will change in the near future. We already invited different providers of collaborative engagement and / or proxy voting, however, did not decide with which provider we will co-operate in the future. The UNPRI Collaboration Platform will play a greater role for us.

Service provider engagements

Please specify why your organisation does not engage via service providers.

Amongst others, this has also financial reasons. 

02.2. Additional information. [Optional]