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Carnegie Fonder AB

PRI reporting framework 2020

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。




We exclude companies involved in controversial weapons, e.g. cluster bombs and landmines, adult entertainment, alcohol and tobacco in all funds. Potential exposure to exluded sectors is checked in an external database managed by our service provider Sustainalytics before investment (pre-screening) and reconfirmed by the same provider bi-annually in the form of full screening of all fund portfolios (reconfirmation). For a full list of exclusion criterias and definitions, please see (only available in Swedish at this point in time).



As active managers, we do our best to identify and avoid companies that behave improperly. In addition to maintaining close and regular dialogue with our holdings, we engage an external consultant to review our portfolio in terms of adherence to internationally agreed and generally accepted conventions and norms. This is conducted before we invest, reconfirmed twice annually in the form of full screening of all fund portfolios as well as alerts of any allegations in between the formally scheduled screenings.

If we receive information that a holding does not live up to our requirements, the Responsible Investment Board takes action in consultation with the relevant fund manager. We have a number of possible courses of action:

  • The manager seeks additional information and discusses the holding with the Responsible Investment Board.
  • The manager contacts the company with regard to our issues.
  • Carnegie Fonder’s CEO makes more formal contact with the holding’s CEO or chairman.
  • We contact other shareholders for joint ownership dialogue.
  • If the response is not satisfactory, and the company does not show an adequate willingness to change, we can choose to divest the holding.

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。

The screening criteria is evaluated on an ongoing basis and at least annually by Carnegie Fonder's Responsible Investments Board. If changes are made, clients are notified on our homepage.

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。

05.4. 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

06.1. ファンドの基準に違反がないことを確認するために組織が使用しているプロセスを記載してください。

06.2. ファンドのスクリーニング基準に対する違反が判明した場合、これらの違反を是正するために従うプロセスを説明してください。

If a breach is identified the Chief Investment Officer (CIO) is notified. The CIO discusses the matter with the concerned portfolio manager who gives his/her view of the company and the violation. The CIO reports to the Responsible Investment Board. If the portfolio manager, the CIO and the board accept the company’s action plan for remediation of the issue, the company will not be divested. If the response is not satisfactory, and the company does not show an adequate willingness to change, we may choose to divest the holding.

06.3. 補足情報 [任意]