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Hérens Quality Asset Management AG

PRI reporting framework 2020

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ESG incorporation in actively managed listed equities

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 200%

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

Integration

In our belief, a stable and competent management team and responsible corporate strategy are critical characteristics for Quality companies. As a result, we use a variety of proprietary research and analytical tools, as well as external ESG sources, to aid in identifying key ESG issues for companies under assessment and potential investment candidates.

Screening

In our investment process, we strictly exclude companies that violate and do not comply with International Labor Organizations and Conventions of the United Nations Global Compact Principles. This includes violations of human rights, labor, environment and serious corruption issues.  Additionally, we exclude certain industries, where according to our beliefs, humanitarian, social, ethical, or environmental concerns are involved. We consider businesses, associated with tobacco, arms and weapons, and thermal coal industries, as greatly irresponsible towards society and environment, and therefore exclude them from our investment universe.

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)


(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

In our investment process, we strictly exclude companies that violate and do not comply with International Labor Organizations and Conventions of the United Nations Global Compact Principles. This includes violations of human rights, labor, environment and serious corruption issues.  Additionally, we exclude certain industries, where according to our beliefs, humanitarian, social, ethical, or environmental concerns are involved. We consider businesses, associated with tobacco, arms and weapons, and thermal coal industries, as greatly irresponsible towards society and environment, and therefore exclude them from our investment universe.

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

In case of major changes in our screening criteria, we inform clients as soon as any changes occur. Otherwise, we maintain regular communication and updates during personal meetings.


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.

05.5. Additional information. [Optional]

ESG analysis is an integral part of our systematic investment process. All portfolio candidates undergo standard ESG checks, with additional overlays and criteria applied upon client requests.


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

Environmental

Social

Social

Corporate Governance

Corporate Governance

08.2. Additional information. [Optional]


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.

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

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

09.6. Additional information. [Optional]

ESG-related information is always presented by our analysts during monthly Investment Committee meetings, allowing the IC to take fully-informed decisions and to request the team to contact portfolio companies in case of any open points or missing information.


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


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