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Ellerston Capital Limited

PRI reporting framework 2020

You are in Direct - Listed Equity Incorporation » ESG incorporation in actively managed listed equities » Implementation processes » (A) Implementation: Screening

(A) Implementation: Screening

LEI 04. Types of screening applied

04.1. Indicate and describe the type of screening you apply to your internally managed active listed equities.

Type of screening

Screened by

Description

Where our client mandates require, we use screening to determine the investment universe for that particular portfolio. The majority of our portfolios are screened to exclude coal and coal mining exposure.

04.2. Describe how you notify clients and/or beneficiaries when changes are made to your screening criteria.

Screening criteria are agreed with clients at the beginning of the mandate. Any changes thereafter would result from discussions with the client. For institutional clients (the majority of of assets under management) the client is responsible for communication with their beneficiaries. For retail clients, details regarding screening and any changes would be communicated via the regular periodic fund reports (monthly).


LEI 05. Processes to ensure screening is based on robust analysis

05.1. Indicate which processes your organisation uses to ensure ESG screening is based on robust analysis.

05.2. Indicate the proportion of your actively managed listed equity portfolio that is subject to comprehensive ESG research as part your ESG screening strategy.

05.3. Indicate how frequently third party ESG ratings are updated for screening purposes.

05.5. Additional information. [Optional]


LEI 06. Processes to ensure fund criteria are not breached (Private)


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