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Adelphi Capital LLP

PRI reporting framework 2020

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 Firm’s investment strategy does not have any pre-defined investment restrictions for ESG reasons, but will ordinarily not invest in commoditised businesses such as mining, chemicals, metals, utilities and other heavy industries. The strategy routinely screens for those businesses listed in the AFM's Cluster Munitions Statement.



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。

If the list of banned companies on the AFM's Cluster Munitions Statement changed we would update the strategy's screen and the Firm's Cluster Munitions Statement. We would notify clients only if the information is requested. The ban on investment applies to companies that produce, sell or distribute cluster munitions, or essential parts thereof.

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。

05.5. 補足情報 [任意]

If the list of banned companies on the AFM's Cluster Munitions Statement are entered into the Firm's live portfolio monitoring tool that the traders and risk manager use to actively monitor the Funds’ portfolios. It also acts as a pre-trade compliance tool. Any attempts to buy those 'blacklisted' companies shall be flagged to the Complaince Officer and Operations teams. 

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