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KBI Global Investors

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。




All portfolios do not invest in companies involved with controversial weapons, companies which are in serious breach of the ten Principles of the Global Compact, and companies which have significant exposure to coal extraction or coal-fired electricity generation.

In addition, for some portfolios we also exclude companies known to have fossil fuel reserves, and companies involved with certain controversial business activities such as tobacco, adult entertainment, stem cell research, and companies with the lowest ESG rating as provided by an external ESG research provider.

Additionally, we manage SRI-screened versions of our Water strategy for some clients based on their criteria, and we comply with Febelfin screens for our KBI Water Fund, which is a UCITS. For another subset of clients, we also screen out countries that these clients wish to avoid based on support for objectionable activities.



We exclude - for all portfolios - companies which are involved in serious breach of the Principles of the Global Compact.

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。

Changes to exclusionary policy are made available in a variety of ways, including direct communications to existing clients, and publication in our annual Responsible Investing report (available via our website)


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]

Our Responsible Investing Committee, comprised of high-level staff from across the business including three of the firm's five Executive Directors, has responsibility and oversight of all screening (and other ESG) policies.  A full review of our screening supplier is carried out annually.

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。

In such circumstances the stock would be sold from the portfolio at the earliest practical opportunity, bearing in mind the clients' best interests.  Our Risk Committee would be informed of the breach, and a report on the circumstances as to how the error arose would be prepared by our Compliance & Risk Department and circulated to the various parties involved and to the Risk Committee.  Any learnings from the error or the report into the error would of course be implemented as soon as practical.

06.3. 補足情報 [任意]