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Alliance Bernstein

PRI reporting framework 2019

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Asset class implementation gateway indicators

OO 10. Active ownership practices for listed assets

10.1. Select the active ownership activities your organisation implemented in the reporting year.

Listed equity – engagement

Listed equity – voting

Fixed income SSA – engagement

Fixed income Corporate (financial) – engagement

Fixed income Corporate (non-financial) – engagement

Fixed income Corporate (securitised) – engagement


OO 11. ESG incorporation practices for all assets

11.1. Select the internally managed asset classes in which you addressed ESG incorporation into your investment decisions and/or your active ownership practices (during the reporting year).

Listed equity

Fixed income - SSA

Fixed income - corporate (financial)

Fixed income - corporate (non-financial)

Fixed income - securitised

Private equity

Property

Commodities

Hedge funds

Money market instruments

Other (1)

'Other (1)' [as defined in OO 05]

          Multi-Asset (Standard and Customized) Retirement Strategies
        
Select the externally managed assets classes in which you and/or your investment consultants address ESG incorporation in your external manager selection, appointment and/or monitoring processes.
Asset class
ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes
Listed equity

Listed equity - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fund of hedge funds

Fund of hedge funds - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Other (1)

Other (1) - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

11.3b. If your organisation does not integrate ESG factors into investment decisions on your externally managed assets, explain why not.

The only externally managed equities we invest in are ETFs, which we use for efficient portfolio management purposes. 

AB's approach to ESG integration has been to focus our efforts on our largest asset classes which are equities and fixed income. We plan to address smaller asset classes in the future.

11.4. Provide a brief description of how your organisation includes responsible investment considerations in your investment manager selection, appointment and monitoring processes.

When selecting and appointing external investment managers within our UK retirement strategies, we review shortlisted managers’ PRI signatory status, ESG and ownership/stewardship policies, and proxy voting history to ensure that any appointed manager is closely aligned to the polices of AB.

In monitoring external investment managers, we perform regular ongoing due diligence requesting information and materials on a number of policies – including those on ESG and responsible investment. This process entails reviewing polices and monitoring changes to ensure that the appointment remains in the best interests of AB and our clients.


OO 12. Modules and sections required to complete

12.1. Below are all applicable modules or sections you may report on. Those which are mandatory to report (asset classes representing 10% or more of your AUM) are already ticked and read-only. Those which are voluntary to report on can be opted into by ticking the box.

Core modules

RI implementation directly or via service providers

Direct - Listed Equity incorporation

Direct - Listed Equity active ownership

Direct - Fixed Income

Direct - Other asset classes with dedicated modules

RI implementation via external managers

Closing module

12.2. Additional information. [Optional]


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