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NEI Investments

PRI reporting framework 2020

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You are in Indirect – Manager Selection, Appointment and Monitoring » Appointment

指名

SAM 04. Appointment processes (listed equity/fixed income)

04.1. あなたの組織では、ほとんどのケースで、また、商品の仕組みが許す限り、運用会社の選定および・もしくは約定の一環として以下の項目のいずれかを行っているかどうかを明示してください。

具体的に記入してください

Requires reporting on ESG enagagements

04.2. 運用会社の指名において通常盛り込んでいる、ベンチマーク、目標、インセンティブ/コントロールおよび報告要件の事例を資産クラス別に記載してください。

資産クラス

ベンチマーク 

          Jantzi Social Index

ESG目標 

          All managers under the RS Funds umbrella are required to comply with the NEI Responsible Investment Policy
        
          NEI retains the right to impose investment restrictions on external managers. This includes screening companies with primary business activities in tobacco, gambling, adult entertainment, military weapons and nuclear material.
        
          NEI retains the rights to assess the ESG performance of investment process before initial purchase. After initial purchase the NEI ESG team monitors the company to ensure that it continues to meet our ESG expectations.
        
          NEI retains the right to engage directly with any of the portfolio companies. We assess the willingness and capacity to collaborate of potential managers in the selection and appointment process.
        
          NEI retains rights of all corporate actions and voting issues in accordance with NEI’s proxy voting guidelines.
        
          As a strategic initiative, all managers that are replaced must be done so by a manager that has a better ESG profile than the manager that is being replaced.
        
          Adherence to NEI RI policy.

インセンティブおよびコントロール

報告要件

ベンチマーク 

          Multiple benchmarks used.

ESG目標 

          All managers under the RS Funds umbrella are required to comply with the NEI Responsible Investment Policy
        
          NEI retains the right to impose investment restrictions on external managers. This includes screening companies with primary business activities in tobacco, gambling, adult entertainment, military weapons and nuclear material.
        
          NEI retains the rights to assess the ESG performance of investment process before initial purchase. After initial purchase the NEI ESG team monitors the company to ensure that it continues to meet our ESG expectations.
        
          NEI retains the right to engage directly with any of the portfolio companies. We assess the willingness and capacity to collaborate of potential managers in the selection and appointment process.
        
          NEI retains rights of all corporate actions and voting issues in accordance with NEI’s proxy voting guidelines.
        
          As a strategic initiative, all managers that are replaced must be done so by a manager that has a better ESG profile than the manager that is being replaced.
        
          Adherence to NEI RI policy.

インセンティブおよびコントロール

報告要件

ベンチマーク 

          Multiple benchmarks used.

ESG目標 

          All managers under the RS Funds umbrella are required to comply with the NEI Responsible Investment Policy
        
          NEI retains the right to impose investment restrictions on external managers. This includes screening companies with primary business activities in tobacco, gambling, adult entertainment, military weapons and nuclear material.
        
          NEI retains the rights to assess the ESG performance of investment process before initial purchase. After initial purchase the NEI ESG team monitors the company to ensure that it continues to meet our ESG expectations.
        
          NEI retains the right to engage directly with any of the portfolio companies. We assess the willingness and capacity to collaborate of potential managers in the selection and appointment process.
        
          NEI retains rights of all corporate actions and voting issues in accordance with NEI’s proxy voting guidelines.
        
          As a strategic initiative, all managers that are replaced must be done so by a manager that has a better ESG profile than the manager that is being replaced.
        
          Adherence to NEI RI policy.

インセンティブおよびコントロール

報告要件

ベンチマーク 

          Multiple benchmarks used.

ESG目標 

          All managers under the RS Funds umbrella are required to comply with the NEI Responsible Investment Policy
        
          NEI retains the right to impose investment restrictions on external managers. This includes screening companies with primary business activities in tobacco, gambling, adult entertainment, military weapons and nuclear material.
        
          NEI retains the rights to assess the ESG performance of investment process before initial purchase. After initial purchase the NEI ESG team monitors the company to ensure that it continues to meet our ESG expectations.
        
          NEI retains the right to engage directly with any of the portfolio companies. We assess the willingness and capacity to collaborate of potential managers in the selection and appointment process.
        
          NEI retains rights of all corporate actions and voting issues in accordance with NEI’s proxy voting guidelines.
        
          As a strategic initiative, all managers that are replaced must be done so by a manager that has a better ESG profile than the manager that is being replaced.
        
          Adherence to NEI RI policy.

インセンティブおよびコントロール

報告要件

04.3. 報告要件のいずれかが満たされない場合に、組織では、以下に記載するどの措置を講じることになるのかを示してください。

04.4. 組織が設定している外部運用会社の指名プロセスに関連する追加情報を記載してください。 [任意] 

          As per the Investment Policy Statements, some managers are contractually obligated to adhere to the NEI Responsible Investment Policy. In addition, all manager contracts also state that NEI retains the right to vote all proxies in house and conduct independent or joint engagements with companies in the NEI mandates. If a manager does not comply with the above, the first step is to reach out to the manager to given them a chance to review their actions, as a last resort of non-compliance, the manager may be terminated. Non-compliance is considered a breach of contract and therefore can lead to termination of the relationship. 
In addition to the manager’s ESG integration, NEI conducts an ESG evaluation of each holding in its portfolios. We recognize that each investment manager has a set of beliefs on responsible investing and varying levels of tolerance on those beliefs. As a result of our secondary ESG evaluation, we may require that a company is excluded from the NEI segregated mandates. As such, in the appointment of managers, we review the manager’s ability and skill in incorporating NEI’s ESG screens and ESG exclusions. As a result, we review and/or work with potential managers to build a process whereby our internal ESG team can collaborate with equity analysts and portfolio managers on ESG risks to create a suitable list of excluded securities.
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