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UEthical

PRI reporting framework 2020

Basic information [OO 01 - 09] Asset class implementation gateway indicators [OO 10 - 12] Peering questions [OO LE 01 - HF 01]

Strategy and Governance

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Outsourcing to fiduciary managers and investment consultants [SG 12] ESG issues in asset allocation [SG 13 - 15] Asset class implementation not reported in other modules [SG 16 - 17] Innovation [SG 18] Communication [SG 19]

Direct - Listed Equity Incorporation

ESG incorporation in actively managed listed equities [LEI 01 - 10] Implementation processes [LEI 01 - 10] (A) Implementation: Screening [LEI 04 - 06] (C) Implementation: Integration of ESG factors [LEI 08 - 10] Outputs and outcomes [LEI 12 - 13]

Direct - Listed Equity Active Ownership

Engagement [LEA 02 - 08] Outputs and outcomes [LEA 09 - 11] (Proxy) voting and shareholder resolutions [LEA 12 - 21]

Direct - Fixed Income

ESG incorporation in actively managed fixed income [FI 01 - 12] Implementation processes [FI 01 - 03] (A) Implementation: Screening [FI 04 - 06] (C) Implementation: Integration [FI 10 - 12] Fixed income - Engagement [FI 14 - 16] Outputs and outcomes [FI 17 - 18]

Confidence building measures

Confidence building measures [CM1 01 - 07]

Export Public Responses

You are in Direct - Listed Equity Active Ownership » Overview

Overview

LEA 01. Description of approach to engagement

New selection options have been added to this indicator. Please review your prefilled responses carefully.

01.1. Indicate whether your organisation has an active ownership policy (includes engagement and/or voting).

Yes

01.2. Attach or provide a URL to your active ownership policy.

Attachment provided:

URL provided:

URL https://www.uethical.com/uploads/resources/Voting-Policy-U-Ethical.pdf

01.3. Indicate what your active engagement policy covers:

General approach to Active Ownership

Conflicts of interest

Alignment with national stewardship code requirements

Assets/funds covered by active ownership policy

Expectations and objectives

Engagement approach

Engagement

ESG issues

Prioritisation of engagement

Methods of engagement

Transparency of engagement activities

Due diligence and monitoring process

Insider information

Escalation strategies

Service Provider specific criteria

Other; (specify)

(Proxy) voting approach

Voting

ESG issues

Prioritisation and scope of voting activities

Methods of voting

Transparency of voting activities

Regional voting practice approaches

Filing or co-filing resolutions

Company dialogue pre/post-vote

Decision-making processes

Securities lending processes

Other; (specify)

Other

None of the above

01.4. Do you outsource any of your active ownership activities to service providers?

Yes

01.5. Where active ownership activities are conducted by service providers, indicate whether your active ownership policy covers any of the following:

Outline of service provider`s role in implementing your organisation’s active ownership policy

Description of considerations included in service provider selection and agreements

Identification of key ESG frameworks which service providers must follow

Outline of information sharing requirements of service providers

Description of service provider monitoring processes

Other; (specify)

          Votes are cast through the ISS voting platform, and ISS analysis is used in assessing each proxy. All proxies are assessed manually.

None of the above

01.6. Additional information [optional]

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