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PRI reporting framework 2020

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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

          Swiss Constitution, Swiss Laws and Regulations, and the international conventions that Switzerland has ratified on the Environment, Human Rights, Labor Rights, Governance and Banned Weapons.


The exclusion list that Suva adopts is the one established by the SVVK-ASIR.

From SVVK-ASIR website (© "By using methods of screening and monitoring of the investment universe of its members, SVVK-ASIR identifies problematic companies based on ESG criteria – the focus being on foreign and international companies. Companies classified as problematic serve as the subject matter to start a purposeful engagement process. Specialized external investment providers with the relevant network and expertise are appointed to engage with the companies."

According to SVVK-ASIR, if direct dialogue has taken place with a company identified as problematic, and no improvement has occurred, SVVK-ASIR reserves the right to include the company on an exclusion list.

Producers of certain types of weapons banned by Swiss law and international conventions on banned weapons signed by Switzerland (e.g., "Treaty on the Non-Proliferation of Nuclear Weapons", "Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on their Destruction", etc.) are strictly excluded.

Suva's screening approach further consists of abiding by the legal sanctions and embargos decided upon by the Swiss government against countries, institutions and companies.


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

Suva started to use the SVVK-ASIR exclusion list for the first time in June 2017. Great efforts have been made to define the new association's exclusion and engagement processes and a revised process became effective in the first months of 2017. Until the revision was implemented, our process used our internally generated exclusion list.

We review our exclusion decisions as soon as SVVK-ASIR updates the exclusion list, generally every 6 months.

The SVVK-ASIR exclusion list and more details on the association's screening criteria can be found on its website ( ).

LEI 05. Processes to ensure screening is based on robust analysis

05.1. Indicate which processes your organisation uses to ensure ESG 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.

05.5. Additional information. [Optional]

ESG ratings from an external service provider were used until June 2017 to make exclusions decisions internally before we decided to adopt the exclusion list established by the SVVK-ASIR.

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