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PRI reporting framework 2019

You are in Direct - Listed Equity Incorporation » ESG incorporation in actively managed listed equities » Implementation processes

Implementation processes

LEI 01. Percentage of each incorporation strategy

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
100 %
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.

We select the stocks that will make part of the portfolios from the best options shown by the ESG methodology of the analysis team, considering ESG factors, financial/economic sustainability and potential upside.


Due to the different needs of the credit and stock areas, the methodology for incorporating ESG (Environmental, Social and Corporate Governance) aspects into the analyzes is divided into two main groups: general indicators and specific indicators. The general indicators were segmented into four distinct pillars, encompassing issues related to the governance structure, social and environmental aspects and the company's positioning in relation to sustainability indices, as well as its alignment with the GRI (Global Reporting Initiative) standard involving the analysis of themes such as: natural resources, biodiversity, solid waste treatment, liquid effluents, atmospheric emissions, labor rights, human rights, among others. The specific indicators were defined according to the needs of each area. The evaluations and their results, in ranking form, are made available to managers so that they can apply in their processes, analysis and decision making of investments, practices that favor the integration of environmental, social and corporate governance issues
 

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


LEI 02. Type of ESG information used in investment decision

02.1. Indicate what ESG information you use in your ESG incorporation strategies and who provides this information.

Type of ESG information

Indicate who provides this information  

Indicate who provides this information 

Indicate who provides this information 

Indicate who provides this information 

Indicate who provides this information 

02.2. Indicate if you incentivise brokers to provide ESG research.

02.4. Additional information.[Optional]


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

03.1. Indicate if your organisation has a process through which information derived from ESG engagement and/or (proxy) voting activities is made available for use in investment decision-making.

03.2. Additional information. [Optional]

At the guidance of voting process, the credit and governance committee, composed of representatives of fund managers, adopt an opinion before referral to the relevant authority.


(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

Number of independent directors;

CEO x Chairman are different people;
Fixed remuneration of Directors
financial assistance received from the Government;
Financial implications for the organization's activities due to climate change;
The company makes a diagnosis of the financial implications and other risks and opportunities arising from climate change;
Participation of public resources in debt;
initiatives to reduce emissions of greenhouse effect gases.;
use of renewable sources in, at least, part of their energy consumption;
actions to reduce their water consumption;
overall turnover in the last year is equal to or lower than the average of the last three years
assistance programs for employees;
accident frequency rate due the job are equal or lower than the average of the last three years;
average hours of training per year for each employee is equal to or higher than the average of the last three years;
actions to contribute to the elimination of child labor /or forced labor, or those similar to slavery;
customer satisfaction, including surveys to measure that satisfaction;
any monetary value of fines (significant) due to non-compliance with laws and regulations concerning both provision and use of products and services;

 

04.2. Describe how you notify clients and/or beneficiaries when changes are made to your screening criteria.

The criteria are based on the GRI report items that we believe have the greatest economic impact on the financial operations of enterprises. The revision of the criteria is held annually. The notification is done through internal reports.


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.

05.4. 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 (Not Completed)


(C) Implementation: Integration of ESG factors

LEI 08. Review ESG issues while researching companies/sectors

08.1. Indicate the 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

09.1. Indicate which processes your organisation uses to ensure ESG integration is based on a robust analysis.

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

09.4. Indicate how frequently you review internal research that builds your ESG integration strategy.

09.5. Describe how ESG information is held and used by your portfolio managers.

09.6. Additional information.[Optional]


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


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