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Garcia Hamilton & Associates, L.P.

PRI reporting framework 2020

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

A) 実施:スクリーニング

FI 04. Types of screening applied

04.1. 実施するスクリーニングの種類を記載してください。

ネガティブ/ 排他的スクリーニング

04.2. 組織内でアクティブ運用している債券に適用するスクリーニングのアプローチを記載してください。

Negative Screening: Includes corporate liquidity criteria, ratings criteria, and the Firm’s long-standing exclusion of corporates with material ESG deficiencies

Positive Screening: Firm’s proprietary ESG overlay; quantitative scoring method of criteria including, but not limited to, sustainability, transparency, ESG risks and opportunities, governance, and integration

04.3. 補足情報 [任意]

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

FI 06. Screening - ensuring criteria are met

06.1. 債券投資においてファンドスクリーニング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システムを記載してください。


06.2. 補足情報 [任意]

We use NorthPoint Trading Compliance rules manager in conjunction with the NorthPoint Order Management System from ACA Technology Solutions (division of ACA Compliance Group) to ensure that investments fall within firm and client investment guidelines.  The NorthPoint system supports the multiple attributes of fixed income debt securities and handles complex trade allocation scenarios.  The powerful rules-based compliance engine is user-configurable, including custom calculation capabilities that allow GH&A to set up internal guidelines based on concentration limits, eligibility parameters, restricted lists, and warning tolerances.

All account guidelines are reviewed by compliance and investment management to ensure that GH&A is managing an account in line with the client’s investment guidelines.  Guidelines are input into the NorthPoint Trading Compliance system by the Chief Compliance Officer, Chief Operating Officer or other members of the compliance team and cannot be overridden by the investment team.