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PRI reporting framework 2020

You are in Direct - Listed Equity Incorporation » ESG incorporation in actively managed listed equities » Implementation processes

Implementation processes

LEI 01. Percentage of each incorporation strategy

01.1. Indicate which ESG incorporation strategy and/or combination of strategies you apply to your actively managed listed equities; and the breakdown of your actively managed listed equities by strategy or combination of strategies.

ESG incorporation strategy (select all that apply)

Percentage of active listed equity to which the strategy is applied — you may estimate +/- 5%
100 %
Total actively managed listed equities 100%

01.2. Describe your organisation’s approach to ESG incorporation and the reasons for choosing the particular strategy/strategies.

We recognise that we need to consider how best we can take account of governance, social and environmental issues within our owned asset and our investment portfolios, and how we can incorporate them into our investment analysis and decision-making processes. We also recognise that these issues are becoming more prominent for a number of our stakeholders.

As required by principle 1, we expect our asset managers to incorporate ESG into the core investment processes via the equity and fixed interest teams, which support the Sanlam Investment businesses with model portfolio building blocks.

In the equities team, ESG scoring is incorporated into both the equities research and portfolio construction processes. We have developed our own ESG scores and are in the process of incorporating them into our equity research process. Our internal scores are compared with those of the external service provider for interpretation and analysis. Interpretation is required because, for example, the materiality of ESG factors varies between sectors. ESG scoring highlights areas for further analysis and enhances the research process. Scores are used implicitly as screening tools in the construction process, to mitigate risk. The investment horizon is broadened and extended as a result.

SIM submission has more detail

01.3. If assets are managed using a combination of ESG incorporation strategies, briefly describe how these combinations are used. [Optional]

LEI 02. Type of ESG information used in investment decision (Private)

LEI 03. Information from engagement and/or voting used in investment decision-making (Private)

(C) Implementation: Integration of ESG factors

LEI 08. Review ESG issues while researching companies/sectors

08.1. Indicate the proportion of actively managed listed equity portfolios where E, S and G factors are systematically researched as part of your investment analysis.

ESG issues

Proportion impacted by analysis




Corporate Governance

Corporate Governance

08.2. Additional information. [Optional]

Historically there has been a lot more focus on Governance and as information becomes more comparable (as in case of CDP) and metrics become more uniform, we are able to increase on the environmental and social areas.

LEI 09. Processes to ensure integration is based on robust analysis

09.1. Indicate which processes your organisation uses to ensure ESG integration is based on robust analysis.

09.3. Indicate how frequently third party ESG ratings that inform your ESG integration strategy are updated.

09.4. Indicate how frequently you review internal research that builds your ESG integration strategy.

09.5. Describe how ESG information is held and used by your portfolio managers.

09.6. Additional information. [Optional]

LEI 10. Aspects of analysis ESG information is integrated into (Private)