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ClariVest Asset Management LLC

PRI reporting framework 2019

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 apply negative/exclusionary screening only at client request/direction.

Screened by


Our approach to defining scope has been to focus on ESG issues that we believe have the potential to impact expectations around a company in keeping with our typical expectations horizon (i.e., 6 to 24 months).  We depend on two well-known analysis techniques employed by our partner ISS-Ethix to provide information on expectations-related issues stemming from ESG. Specifically, we utilize two of ISS-Ethix’s analysis tools; 1) Norm-Based Analysis and 2) Controversial Weapons Analysis.  Norm-Based Analysis evaluates issues according to ten principles laid out in the UN Global Company.

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

We apply negative/exclusionary screening only at client request/direction.

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.

05.5. Additional information. [Optional]

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