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Raiffeisen Capital Management

PRI reporting framework 2018

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ESG incorporation in actively managed listed equities

Implementation processes

LEI 01. Percentage of each incorporation strategy

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

01.1. Indicate (1) which ESG incorporation strategy and/or combination of strategies you apply to your actively managed listed equities and (2) the breakdown of your actively managed listed equities by strategy or combination of strategies (+/- 5%)

ESG incorporation strategy (select all that apply)

Percentage of active listed equity to which the strategy is applied
80 %
Percentage of active listed equity to which the strategy is applied
20 %
Total actively managed listed equities 100%

01.2. Describe your organisation’s approach to incorporation and the reasons for choosing the particular ESG incorporation strategy/strategies.

It is our target to have a basic screening for all our investment products. Therefore we agreed to exclude controversial weapons companies from all our portfolios. In addition we agreed to exclude companies mainly active in the field of coal producing and processing from all our portfolios.
For our dedicated SRI portfolios we have a very detailed and well-structured ESG investment approach, which covers an in-depth stakeholder analysis as well as ESG risks on a sector-level. This SRI approach uses a wide set of criteria (exclusionary, positive).

The reason for choosing this strategies was to respond to the needs and requirements of institutional and retail investors in Austria, Germany and Switzerland.

01.3. If assets are managed using a combination of ESG incorporation strategies, briefly describe how these combinations are used. [Optional]

Starting from the overall investment universe we first apply a broad set of exclusionary criteria. This is followed by an in-depth ESG analysis (stakeholder analysis as well as ESG sector risks).


LEI 02. Type of ESG information used in investment decision (Private)


LEI 03. Information from engagement and/or voting used in investment decision-making (Private)


(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

Description

Exclusionary criteria may have diverse backgrounds, we apply criteria both for companies and (other) issuers (sovereigns, supranationals, collateralised). Negative screening is part of the screening process provided by external sources.

Screened by

Description

Positive criteria may have diverse backgrounds, we apply criteria both for companies and (other) issuers (sovereigns, supranationals, collateralised). Positive screening is part of the screening process provided by external sources.

Screened by

Description

Norms-based screening is part of the screening process provided by external sources.

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.

Screening criteria are established and dicussed within the SRI department and there is a final decision by the management board. There is no review period defined. In addition to that we are flexible to specific client needs.


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.

05.2. Indicate the proportion of your actively managed listed equity portfolio that is subject to comprehensive ESG research as part your ESG screening strategy.

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

05.4. Indicate how frequently you review internal research that builds your ESG screens.

05.5. Additional information. [Optional]


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


(C) Implementation: Integration of ESG issues

LEI 08. Review ESG issues while researching companies/sectors

08.1. Indicate which ESG factors you systematically research as part of your investment analysis and the proportion of actively managed listed equity portfolios that is impacted by this analysis.

ESG issues

Proportion impacted by analysis
Environmental

Environmental

Social

Social

Corporate Governance

Corporate Governance

08.2. Additional information. [Optional]


LEI 09. Processes to ensure integration is based on robust analysis (Private)


LEI 10. Aspects of analysis ESG information is integrated into (Private)


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