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Fairpointe Capital, LLC (Delisted)

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。




Negative screening is one aspect of our ESG research process.  We utilize negative screening to exclude certain indusries and products from our portfolio.  For instance, energy is a sector we avoid.   We also avoid gun manufacturers, tobacco and gambling products.  



We use positive screening methods to focus on U.S quality companies then conduct qualitative research on a company's product, activity and ESG practices.


          We utilize MSCI's screens from time to time.


Occasionally, we will use a MSCI screen for idea generation.  However, a company must have a favorable rating from MSCI.  We then conduct our own ESG analytical research to be sure that we agree with MSCI's assessment

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。

Fairpointe's ESG Equity Strategy's composite was created on January 1, 2018.  In our view, the process is still evolving and we are constantly improving our criteria.  We have not made significant changes to the process, which would warrant notifying clients.  In the event that a material change is made, we would notify clients in writing.

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]

Fairpointe's investment professionals meet weekly to review existing holdings and  discuss potential new holdings for the portfolio.  There is a ESG sub-committee, which also meets separately on a weekly basis, and sometimes more often, to discuss ESG factors for portfolio holdings.  

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