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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) 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。



          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. 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。

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. 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。

05.2. ESGスクリーニング戦略の一環で包括的なESG調査の対象となるアクティブ上場株式ポートフォリオの割合を示してください。

05.3. 第三者のESG評価がスクリーニング目的で更新される頻度を示してください。

05.5. 補足情報 [任意]

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)