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UBS Asset Management

PRI reporting framework 2018

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You are in Direct - Listed Equity Active Ownership » Engagement » Process » Process for engagements conducted via collaborations


LEA 05. Process for identifying and prioritising collaborative engagement


05.1. 協働的なエンゲージメントを特定し、優先順位を決定する正式なプロセスが貴社にあるかどうか示してください。

05.2. 協働的エンゲージメントを特定し、優先順位を決定する際に使用する基準を説明してください。

05.3. Additional information [Optional]

LEA 06. Objectives for engagement activities



06.1. 貴社が関与する協働的なエンゲージメントに目的が定義されているかどうか示してください。

06.2. 貴社の協働的なエンゲージメントを受けた企業の行動をエンゲージメント中および後で監視しているかどうかを記載してください。

06.3. 貴社の協働エンゲージメント活動の進捗を監視し、評価するために以下のいずれかを実施しているかどうか示してください。

06.4. Additional information. [Optional]

Where we believe the effectiveness of engagement and the chance of success can be increased, we are willing to work both formally and informally with collective bodies, or to collaborate with other shareholders. This particularly applies where we have a small holding in a company where we feel that individual engagement would not have a strong likelihood of success. At the same time, we will join a collaborative initiative only in a situation when we have the necessary internal resources to contribute meaningfully to the dialogue with companies and the objectives of the collaboration.

Prior to undertaking any collaboration with other investors we will first review the following:

- That any collaboration or action with others investors is permitted by law and/or regulation;

- General agreement amongst investors on issues of concern and potential solutions;

- Responsiveness of management or board to direct individual engagement;

- That engagement will be private and that any public statements have our prior explicit authorisation;

As part of our collaboration efforts we also maintain an active participation in both formal and informal investor networks in order to ensure that we are aware of best practice in the area of corporate governance, social and environmental matters and to improve dialogue between institutional investors and other stakeholder groups.