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Nomura 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


The screening is based on clients' request. The type of screening is such as controversial weapons, tobacco, gamble and so on. We also screen companies from the view point of ESG perspective and controvercy.

Screened by


Screening based on our qualitative assessment by our internal analysts.

Screened by

          inhumane weapons convention, Climate change-related information


To identify companies for which we should conduct the engagement and/or proxy voting, we utilize the information from GES which is Swedish engagement company.

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

Our research analysts and ESG specialists present appropriate information to portfolio managers when they identify potential risks that could have some impact on a company’s long-term enterprise value. We do not automatically exclude such a kind of companies, but we do exclude certain companies which would not be expected to improve their corporate value even if we would conduct the engagement activities.

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.

05.4. 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.

We promptly resolve the position, report to the internal compliance department, and also explain to clients.

06.3. Additional information.[Optional]