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Optimum Asset Management Inc

PRI reporting framework 2020

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You are in Direct - Listed Equity Incorporation » ESG incorporation in actively managed listed equities » Implementation processes

実施プロセス

LEI 01. Percentage of each incorporation strategy

01.1. 以下を記載してください。（1）組織でのアクティブ運用上場株式にどのESG組み入れ戦略や組み合わせを使用しているか（2）アクティブ運用している上場株式の戦略または戦略の組み合わせ別内訳

ESG組み入れ戦略 （当てはまるものをすべてお選びください）
アクティブ運用される上場株式に戦略が適用される割合 （推定 +/- 5%）
100 %
アクティブ運用している上場株式の合計 200%

01.2. 組織が実施しているESG組み入れアプローチ、および、特定のESG組み入れ戦略を選択している場合はその理由を説明してください。

Optimum Asset Management uses where we have vowed to exclude sectors/companies with specific revenue generation from our investment portfolios.

Along with the industry, OAM takes part in making issuers aware of ESG factors and distances itself from certain industries by expressly excluding the following from its portfolios:

  • Coal: Companies that obtain more than 25% of their revenues from coal-fired power plants. Moreover, any such company must have demonstrated that it has reduced its greenhouse gas (GHG) emissions in recent years and that it plans to continue to do so;
  • Tobacco: Companies that obtain more than 10% of their revenues from the manufacture of tobacco products;
  • Weapons: Any company involved in the manufacture and sale of antipersonnel mines, cluster munitions or biological or chemical weapons in contravention of international humanitarian law.

We use positive screening where we select companies with better greenhouse gas emissions. We calculate greenhouse gas emissions for every company and we compare the portfolio with the index.

01.3. ESG組み入れ戦略の組み合わせを使用して資産を運用している場合、ESG戦略の組み合わせをどのように使用しているかを簡単に説明してください。 [任意]

ESG integration is used on all companies that are analyzed. An annual review of the percentage of revenue generated by the companies in flagged sectors gives us the necessary information to use our screening strategy. The information found in the screening is added to the ESG integration. We expressly exclude the following from its portfolios:

  • Coal: Companies that obtain more than 25% of their revenues from coal-fired power plants. Moreover, any such company must have demonstrated that it has reduced its greenhouse gas (GHG) emissions in recent years and that it plans to continue to do so;
  • Tobacco: Companies that obtain more than 10% of their revenues from the manufacture of tobacco products;
  • Weapons: Any company involved in the manufacture and sale of antipersonnel mines, cluster munitions or biological or chemical weapons in contravention of international humanitarian law.

In addition, when selecting equities, we integrate good governance and low leverage aspects to our screening criteria.

LEI 02. Type of ESG information used in investment decision (Private)

LEI 03. Information from engagement and/or voting used in investment decision-making (Private)

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。

スクリーニングの種類

スクリーニング実行者

説明

The Optimum Canadian Equity strategy screens several factors, including ESG factors, to better manage active listed equities. Non-financial responsible-investment considerations are among the criteria used to select securities for the portfolio. OAM therefore uses external consultant services to assess the risks related to ESG factors.

The application of these factors varies from one sector of activity to another and will change over time.

Along with the industry, OAM takes part in making issuers aware of ESG factors and distances itself from certain industries by expressly excluding the following from its portfolios:

  • Coal: Companies that obtain more than 25% of their revenues from coal-fired power plants. Moreover, any such company must have demonstrated that it has reduced its greenhouse gas (GHG) emissions in recent years and that it plans to continue to do so;
  • Tobacco: Companies that obtain more than 10% of their revenues from the manufacture of tobacco products;
  • Weapons: Any company involved in the manufacture and sale of antipersonnel mines, cluster munitions or biological or chemical weapons in contravention of international humanitarian law.

スクリーニング実行者

説明

The Optimum Canadian Equity strategy screens several factors, including governance factors, to better manage active listed equities. Non-financial responsible-investment considerations are among the criteria used to select securities for the portfolio.

Optimum Asset Management measures the carbon footprint of its Canadian equity portfolios and compares the result with the index in order to remain systematically better.

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 significant change in the screening criteria is discussed at client meetings.

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。 

          ESG Committee reviews watch list and prohibited list of securities updated

05.4. 組織のESGスクリーニングを構築するための組織内リサーチを精査する頻度を示してください。

05.5. 補足情報　[任意]

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

B) 実施:テーマ

LEI 07. Types of sustainability thematic funds/mandates (Not Applicable)

C) 実施: 統合

LEI 08. Review ESG issues while researching companies/sectors (Not Applicable)

LEI 09. Processes to ensure integration is based on robust analysis (Not Applicable)

LEI 10. Aspects of analysis ESG information is integrated into (Not Applicable)

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