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Ashmore Group plc

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

Examples of investment areas where Ashmore offers screening of portfolios based on (or informed by) client requirements (using recognised investment industry identifiers and coding into Ashmore's portfolio management system) include:‐
• Alcohol
• Animal / food products
• Armaments manufacturers or dealers
• Gambling
• Pornography
• Tobacco

Ashmore screens for, and prohibits, investment in companies manufacturing cluster munitions banned under the Oslo Convention. Ashmore at all times seeks to comply with all sanctions imposed by applicable government authorities, and also at a geographic level; and screens across all investment themes for countries which are on the United Nations and EU/UK Sanctions and the US Office of Foreign Assets and Control (OFAC) lists.

Screened by

          Ashmore screens across all investment themes for countries on the following lists:
• UN and EU/UK sanctions
• US Office of Foreign Assets and Control (OFAC)
        

Description

Ashmore screens for, and prohibits, investment in companies manufacturing cluster munitions banned under the Oslo Convention.

Ashmore screens across all investment themes for countries on the following lists:
• UN and EU/UK sanctions
• US Office of Foreign Assets and Control (OFAC)

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

Ashmore's funds and segregated accounts each have a specific investment mandate which sets out the parameters for investment. Within the Equities theme Ashmore is able to screen client portfolios to meet client requirements for geographic, sector and stock specific restrictions. Stock specific restrictions may include securities which meet clients’ own ESG criteria.


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.

          Use of recognised industry identifiers and coding into Ashmore's portfolio management system. Use of UN, EU/UK sanctions and US OFAC country lists.
        

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.

05.5. Additional information. [Optional]

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


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