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Fred Alger 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) 実施:スクリーニング

LEI 04. Types of screening applied

04.1. 組織内でアクティブ運用している上場株式に適用するスクリーニングの種類を記載し、説明してください。




The Alger SRI Capital Appreciation strategy utilizes negative/exlcusionary screening. The importance of ESG criteria is directly related to the restrictions or requests made within the client’s investment management agreement. Alger uses MSCI ESG Research, whose products and services are designed to provide in-depth research, ratings and analysis of environmental, social and governance-related business practices, for pre-screening based on the following categories: Alcohol, Abortion/Contraceptives, Defense & Weapons, Gambling, Global Sanctions, Global Sanction – Sudan Specific, Nuclear Power, Pork, Tobacco, Global Weapons Production, Global Weapons – Cluster Bomb Specific, Adult Entertainment, Labor Relations and OFAC. On a continuous basis, MSCI ESG research provides Alger’s Portfolio Administration Team with a listing of securities currently restricted.



For the Alger Responsible Investing Fund, we employ fundamental analysis to identify innovative and dynamic companies using MSCI's ESG ratings to consider how such stocks within an industry or sector based on a company's conduct in offering products or services that promote positive environmental, social and/or governance policies, or have a positive impact in these areas, addressing concerns such as climate change, resource depletion, health and safety, employee relations and diversity, bribery and corruption, and fostering board diversity and structure. 

04.2. スクリーニング基準が変更された場合に顧客や受益者に通知する方法について説明してください。

Any changes to the Fund's screening would be detailed in the prospectus, which is publically available to clients via

LEI 05. Processes to ensure screening is based on robust analysis

05.1. スクリーニングが徹底した分析に基づいていることを確実にするために、組織が使用しているプロセスを選択してください。

05.3. 第三者のESG評価がスクリーニング目的で更新される頻度を示してください。

05.5. 補足情報 [任意]

If there is any update (i.e. company event) to an ESG security, that change is immediately reflected in the model contained in our research storage database, which is available to all investment team members. At a minimum, the model is also reviewed annually. 

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