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Ohman Fonder

PRI reporting framework 2020

Export Public Responses

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。




Quarterly screening is conducted by an external service provider based on our ethical standard as well as international norms and conventions. For all actively managed listed equity we exclude companies that are producing and distributing controversial weapons; cluster munitions, anti-personnel mines, nuclear-, biological- and chemical weapons. We also exclude companies if more than 0% of their revenues are derived from production of weapons/military material, tobacco and pornography. Also, companies involved in distribution of alcohol, weapons/military material, gambling, tobacco, pornography and cannabis (more than 5% of their revenues) are excluded. We do not invest in companies involved in extraction of fossil fuels (coal, oil and gas) or companies which derive more than 10% of their revenues from coal-based electricity and oil and gas-services.​



Quarterly screening is conducted by an external service provider on the basis of international norms and conventions. If a company is found to be a confirmed violation, we exclude the company from the investment universe. We do not invest in companies that systematically are in breach of international norms and conventions based on UN Global Compact 10 principles on labor, human rights, environment and anti-corruption. 

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。

The screening criterias are defined and set by our Committee for Responsible Investment, and decided upon by the Board of Directors. We have identified these criterias based on customer demand, industry standards and what we deem are important sustainability risks. The criteria’s are evaluated once a year, and potential changes are included and revised in our policy. They are communicated to our clients in many ways, for example news letters and meetings.

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]

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。

The internal control function on a daily basis monitors that our clients’ and fund holdings are in line with its sustainability criterias. Any deviations must immediately be reported to the responsible portfolio manager, CEO and Head of Responsible investment. The portfolio managers have to sell the holding that are in breach of the sustainability criteria. Head of Responsible Investment must annually report to the Board of Directors on the selection process and its compliance.

06.3. 補足情報 [任意]