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Banco BTG Pactual S.A.

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

Following our investment policy, our analysts exclude companies that do not match our ESG expectations from the pool of possible investments.

Screened by

Description

Our analysts seek for ESG practices amongst peers to identify companies with best practices, taking into account raw data and historical evolution.

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

The analysts follow closely the activities of the companies they cover and make sure to be involved on different levels of activities. For example, the team is often involved in the environmental behaviors of invested companies. The team has visited the company’s mining operations in key countries, including its mining, smelter and refining facilities. Additionally, in April 2014, the team participated in the company’s public audience for the development of their expansion project. The event provided the team and other attendees with detailed information of the environmental repercussions of the project as well as any other requested information. This resulted gave the team a positive perception regarding the expansion and the company and reassured their investment decision.


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]

Our analysts conduct all the reviews and researches based on the data provided by the company. After all quantitative and qualitative review, our team meets with the targeted companies to ensure that there is no information gap in the reviews conducted and the company reality.

BTG Pactual lanched the first ESG Equity Fund in Chile market. The fund uses as benchmark the MSCI ESG Chile Index and prior to decision making process our analysts uses researches provided by both services providers MSCI and Vigeo. MSCI provides ESG rating on a quarterly basis and Vigeo provides ESG research on an annually basis. 


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


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