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Quoniam Asset Management GmbH

PRI reporting framework 2020

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You are in Direct - Fixed Income » ESG incorporation in actively managed fixed income » (A) Implementation: Screening

(A) Implementation: Screening

FI 04. Types of screening applied

04.1. Indicate the type of screening you conduct.

Select all that apply
SSA
Corporate (financial)
Corporate (non-financial)
Negative/exclusionary screening
Positive/best-in-class screening
Norms-based screening

04.2. Describe your approach to screening for internally managed active fixed income

For a detailed description of all screening criteria used by Quoniam, please refer to FI 01.2. Data used to decide on (non-)compliance with these criteria is provided by established ESG data providers, as stated in FI 02.2.

As laid out, some clients / mandates may have chosen to use their own screening methodologies or permissible investment universe definitions, in which case Quoniam applies such criteria as instructed.  A Quoniam defined exclusion list of companies with activities in the production of controversial weapons, i.e. cluster munitions and anti-personnel landmines, key biological and chemical weapons components, biological and chemical weapons, incendiary weapons using white phosphorus and nuclear weapons, is applied to all mandates irrespective of client preferences.

04.3. Additional information. [Optional]


FI 05. Examples of ESG factors in screening process (Private)


FI 06. Screening - ensuring criteria are met

06.1. Indicate which systems your organisation has to ensure that fund screening criteria are not breached in fixed income investments.

Type of screening
Checks
Negative/exclusionary screening

other description

          Systematic checks are performed to ensure that stocks meet the fund’s screening criteria
        
Positive/best-in-class screening

other description

          Systematic checks are performed to ensure that stocks meet the fund’s screening criteria
        
Norms-based screening

other description

          Systematic checks are performed to ensure that stocks meet the fund’s screening criteria
        

06.2. Additional information. [Optional]

The Risk Control & Performance team monitors adherence to specific investment guidelines and client preferences, such as the exclusion of corporations from the investment universe that do not meet the requested criteria. All screening lists and criteria applied in the portfolio management process feed into an guideline audit system (MIG 21) and are checked on both a pre-trade basis and a post-trade basis. If a violation of investment guidelines is detected, a rectification process is immediately triggered.

Overriding responsibility for this process rests with the Chief Operations Officer (COO).

The Governance & Business Advisory team and Chief Compliance Officer (CCO) regularly review adherence to the above-mentioned regulations.


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