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Sompo Asset Management Co., Ltd.

PRI reporting framework 2019

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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

Description

We do not invest in companies that produce cluster munitions-we remove the companies involved in producing cluster munitions from our investment universe. Also, we do not invest in corporates that have severe issues with their governance or that had any legal violations.

Screened by

Description

 "Sompo Japan Green Open" and "Sompo Japan Eco Open" : positive screening based on E (Environment).

For "Sompo Japan SRI Open" and "SNAM Sustainable Investment Fund (Exclusive for Qualified Institutional Investors)" : positive screening based on ESG.

For "Virtuous Cycle Society Japan Equity Fund", we conduct positive screening based on "S (Social) and G (Governance)" , especially focusing on their labour-reform policy.  

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

The screening criteria are established after discussing with the external advisor (Sompo Risk Management Inc.).

We review and revise, if necessary, the screening criteria each year, working in close cooperation with the advisor.

We notify the relevant changes to clients and/or beneficiaries via the meetings and/or regularly-published 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

06.1. Indicate which processes your organisation uses to ensure fund criteria are not breached.

06.2. If breaches of fund screening criteria are identified - describe the process followed to correct those breaches.

06.3. Additional information.[Optional]


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