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Rothschild & co Asset Management

PRI reporting framework 2018

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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


we ban companies that have land Mines & Cluster munitions activities

Screened by


We use reference lists to make sure that we exclude from most of our equity funds' companies that do not comply with some key fundamental principles: Severe environmental damages, serious violations of human rights, gross corruption, serious violations of individual’s rights in situation of conflict, other violations of ethical norms.

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.

=>Mandatory exclusions: Land mines and cluster munitions, checked on a yearly basis.

=> Discretionary exclusions: Companies that do not respect principles in the field of human rights, labor, environment and anti-corruption, criteria which are mainly derived from the UN Global Compact's ten principles: update on a yearly basis as a minimum (only applicable for funds committed to comply with this exclusions list).

- Exclusions lists might be communicated to clients if needed or requested.

- Clients might provide us specific exclusion lists to respect in their funds.

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)