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Fund Awards 2023 – Winners List
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HOME
AWARDS INFORMATION
Hong Kong & Singapore
Taiwan 台灣
Winners List 2023
Fund Awards 2023
MPF Awards 2023
PAST WINNERS
Fund Awards 2022 – Premier Hub
Fund Awards 2022 – Winners List
MPF Awards 2022 – Winners List
FORUM
Gatekeepers Forum
Sustainable Wealth Forum
ABOUT
About Benchmark
About BlueOnion
Contact Us
Fund Awards 2023 – Winners List
MPF Awards 2023 – Winners List
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Also apply this submission for other Corporate Responsibility and Strength entries
Name of firm
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Pillar 5: Corporate Responsibility and Strength
1. Firm-level Commitment to active engagement/stewardship. Please select the statement(s) that describe your approach to stewardship[i].
You may choose more than one statement where applicable:
We have a clearly articulated, explicit, publicly available policy/framework on investing responsibly across ALL our strategies, including non-ESG, non-SRI strategies
We do NOT yet have an explicit, clearly spelled out stewardship policy/framework/principle, but we are in the process of finalizing one within the next 12 months
We do NOT have an explicit stewardship policy/framework -- and do NOT have plans for one -- but we invest responsibly whenever possible across ALL our strategies, including non-ESG, non-SRI strategies
We invest responsibly ONLY in our ESG, SRI, and/or sustainable strategies. We do not practice responsible investing in other strategies
We are signatories to one or more stewardship principles, and we have concrete plans to institute a stewardship policy/framework at our firm at the moment
We are signatories to one or more stewardship principles, but we have no concrete plans to institute a stewardship policy/framework at our firm at the moment
We are not signatories to stewardship principles/codes; we have no stewardship policies, but we are keen to move in that direction within the next 1-2 years
We think stewardship is NOT suitable for our business model, and we have explained why to the relevant regulatory authorities and/or investors
We do NOT think stewardship is important to our firm at this time, and we do not feel it's necessary to explain why
Our firm does NOT have a position on stewardship
Additional remarks, if any (maximum 250 words)
2. Which ESG materiality framework are you currently using for benchmarking and/or using for reporting?
The Global Reporting Initiative (GRI)
The Sustainability Accounting Standards Board (SASB)
International Integrated Reporting Council (IIRC)
The Workforce Disclosure Initiative (WDI) ...
The Task Force on Climate-Related Financial Disclosures (TCFD)
The Climate Disclosure Standards Board (CDSB) SASB
EU Sustainable Finance Disclosure Regulation (SFDR)
SDG indicators
My local regulators' guideline
Additional remarks, if any (maximum 250 words)
3. Tools: Which ESG data tool(s)/provider(s) are you currently using for assessing ESG performance and issues?
BlueOnion
Bloomberg
MSCI
Morningstar’s Sustainalytics
ISS
RepRisk
Clarity A.I.
TruValue
Others – Please specify
Others – Please specify
4. Are you a Signatory/Member of the following sustainable programs?
- United Nations Sustainable Development Goals (UN SDG)
- Principle Responsible Investment (PRI)
- United Nations Global Compact (UNGC)
- Carbon Disclosure Project (CDP)
- United Nations Environment Programme Finance Initiative (UNEP FI)
- Task Force on Climate-Related Financial Disclosures (TCFD)
- Global Reporting Initiative (GRI)
- Sustainability Accounting Standards Board (SASB)
- International Integrated Reporting Council (IIRC)
Yes
No, we are not a signatory of any other similar initiatives, but we are in the process of applying to be a signatory of a responsible investing initiative/s
No, we are not a signatory of any other similar initiatives, but we are in the process of applying to be a signatory of a responsible investing initiative/s but we plan to be a signatory to at least one responsible investing initiative within the next 12 months
No, we have no plans to become a signatory of any responsible investing initiatives in the near future
Other responses (please specify)
Selected: Yes - Please select relevant sustainable programs.
United Nations Sustainable Development Goals (UN SDG)
Principle Responsible Investment (PRI)
United Nations Global Compact (UNGC)
Carbon Disclosure Project (CDP)
United Nations Environment Programme Finance Initiative (UNEP FI)
Task Force on Climate-Related Financial Disclosures (TCFD)
Global Reporting Initiative (GRI)
Sustainability Accounting Standards Board (SASB)
International Integrated Reporting Council (IIRC)
Please specify other sustainable programs.
5. Firm-level Responsible Investment Policy: Our firm has a clear responsible investment policy set out to govern our organization's stewardship policy [iv]:
Key stewardship objectives
Prioritization approach of ESG factors and their link to engagement issues and targets
Prioritization approach depending on entity (e.g., company or government)
A specific approach to climate-related risks and opportunities
Stewardship tool usage across the organization, including tools that are out of scope and when and how different tools are used and by whom (e.g., specialist teams, investment teams, service providers, external investment managers, or similar)
Stewardship tool usage for specific internal teams (e.g., specialist teams, investment teams, or similar)
Stewardship tool usage for specific external teams (e.g., service providers, external investment managers, or similar)
Approach to collaboration on stewardship
Escalation strategies
Conflicts of interest
Details on how the stewardship policy is implemented and which elements are mandatory, including how and when the policy can be overruled
How stewardship efforts and results should be communicated across the organization to feed into investment decision-making and vice versa
None of the above elements are captured in our stewardship policy
Additional remarks, if any (maximum 250 words)
6. What percentage of your assets under management does your stewardship policy cover?
AUM coverage:
(A) Listed equity
Please enter a number from
0
to
100
.
(B) Fixed income
Please enter a number from
0
to
100
.
(C) Private equity
Please enter a number from
0
to
100
.
(D) Real estate
Please enter a number from
0
to
100
.
(E) Infrastructure
Please enter a number from
0
to
100
.
(F) Hedge funds
Please enter a number from
0
to
100
.
7. Firm-level Responsible Investment Policy Disclosure [iv]: Indicate which of your responsible investment policy elements are publicly available and provide links:
The overall approach to responsible investment
Guidelines on environmental factors
Guidelines on social factors
Guidelines on governance factors
Approach to stewardship
Approach to sustainability outcomes
Approach to exclusions
Asset class-specific guidelines that describe how ESG incorporation is implemented
Definition of responsible investment and how it relates to our fiduciary duty
Definition of responsible investment and how it relates to our investment objectives
Responsible investment governance structure
Internal reporting and verification related to responsible investment
External reporting related to responsible investment
Managing conflicts of interest related to responsible investment
Other responsible investment aspects not listed here
Our responsible investment policy elements are not publicly available
Additional remarks, if any (maximum 250 words)
8. Governance Oversight [iv]: Who, in your organization's board, chief-level staff, investment committee, and/or head of a department have formal oversight and accountability for responsible investment?
Board and/or trustees
Chief-level staff (e.g., Chief Executive Officer (CEO), Chief Investment Officer (CIO), or Chief Operating Officer (COO))
Investment committee
Other chief-level staff
Head of a department
None of the above roles have oversight and accountability for responsible investment
Additional remarks, if any (maximum 250 words)
9. Governance Implementation [iv]: In your organization, which internal or external roles have responsibility for implementing responsible investment?
Board and/or trustees
Chief-level staff (e.g., Chief Executive Officer (CEO), Chief Investment Officer (CIO), or Chief Operating Officer (COO))
Investment committee
Other chief-level staff
Head of a department
Portfolio managers
Investment analysts
Dedicated responsible investment staff
Investor relations
External managers or service providers
We do not have roles with responsibility for implementing responsible investment
10. Corporate Risk Management: Please select all statements that apply to your firm:
The annual bonus, both for investment and non-investment staff, is based partly on meeting investors' needs. Factors such as defending investors' interests, refraining from taking risks that are out of line with target investors' profiles, product innovation to meet investors' unmet needs, and other actions aligned with investors weight 30% or more in determining bonuses
The annual bonus may be clawed back if a staff member has acted out of alignment with investors' interests during any year. Examples include, but are not limited to, taking risks exceeding target investors' risk profile, trading for personal benefit over investors', making representations to distributors/investors/the public/regulators/other parties that obscure the actual situation of a fund or the firm, among other possible infringements of fiduciary or moral responsibility to investors
An independent director leads our compensation committee to ensure objectivity and fairness for employees at all levels
Our CEO, country/regional head, or equivalent reviews client complaints at least once a month
Non-investment decisions of all magnitude can only be made by ONE person, i.e., the CEO, Chairman, Founder, or another similar individual. No one else may make non-investment decisions
We have clear, unambiguous procedures AND protections for whistleblowing
Members of our board of directors include the Chief Compliance Officer (who is NOT also concurrently playing the role/s of CEO, Chairman, or another individual who is already on the board)
Members of our board of directors include our Chief Risk Officer (who is NOT also concurrently playing the role/s of CEO, Chairman, or another individual who is already on the board)
Our Chief Compliance Officer, or equivalent, reports directly to the board of directors, not to the CEO, COO, or other function.
Our Chief Risk Officer, or equivalent, reports directly to the board of directors, not to the CIO, CEO, COO, or other function.
Additional remarks, if any (maximum 250 words)
11. Corporate Citizenship: Please select all statements that apply to your firm:
Our firm offers pro bono professional services to less fortunate members of our community and society
Our firm participates in or organizes investor education (or financial literacy) events/resources for children, youth, and/or women at least two times a year -- WITHOUT presenting our products and services.
Our company has a matching program for staff's donations to various pre-approved philanthropic efforts
Our employees have four or more paid days off to do volunteer work each year.
When our staff receive gifts from clients, vendors, or other business contacts, the gifts go into a pool to be donated to charities
Additional remarks, if any (maximum 250 words)
12. Transparency about material redemptions[i]: This question relates to your firm's duty of care toward intermediaries and, ultimately, end investors. When a fund experiences material redemptions, when does your firm inform investors and/or intermediaries[ii]?
Please select only one answer that reflects your policy or disclosure norm if you do not have a policy:
We inform investors/intermediaries within 24 hours, including non-business days
We inform investors/intermediaries within 1 business day
We inform investors/intermediaries within 2 business days
We inform investors/intermediaries within 3 - 5 business days
We inform investors/intermediaries within 10 business days
We inform investors/intermediaries within 1 month
We inform investors/intermediaries only as part of our scheduled reporting, such as monthly factsheets, quarterly reviews, etc.
We do not inform investors/intermediaries
Additional remarks, if any (maximum 250 words)
13. Transparency about key man events: When the key manager/s responsible for a Fund have resigned, are retiring, will be transferred to a different responsibility, are indisposed, seriously ill, going on maternity leave, or are otherwise incapacitated, when do you inform investors[ii]?
Please select only ONE answer that reflects your policy or disclosure norm if you do not have a policy:
We inform investors/intermediaries within 24 hours, including non-business days
We inform investors/intermediaries within 1 business day
We inform investors/intermediaries within 2 business days
We inform investors/intermediaries within 3 - 5 business days
We inform investors/intermediaries within 10 business days
We inform investors/intermediaries within 1 month
We inform investors/intermediaries only as part of our scheduled reporting, such as monthly factsheets, quarterly reviews, etc.
We do not inform investors/intermediaries
Additional remarks, if any (maximum 250 words)
14. Skin in the game: Does your firm have a policy requiring the key portfolio managers to invest their personal wealth into the funds they manage, as external investors, with no special concessions on the SAME terms?
Please select only ONE answer that reflects your policy or disclosure norm if you do not have a policy:
Yes
No, and we have no plans to have such a policy
No, but we have firm plans to institute such a policy
The question of skin in the game is not applicable
Selected: Yes - Please select to reflect your policy:
Our key portfolio managers are required to invest less than 10% of their annual bonus (or equivalent) into the fund/s they manage
Our key portfolio managers are required to invest 10-15% of their annual bonus (or equivalent) into the fund/s they manage
Our key portfolio managers are required to invest 16-20% (or equivalent) of their annual bonus into the fund/s they manage
Our key portfolio managers are required to invest 21-25% (or equivalent) of their annual bonus into the fund/s they manage
Our key portfolio managers are required to invest 26-30% (or equivalent) of their annual bonus into the fund/s they manage
Our key portfolio managers are required to invest 31% or more (or equivalent) of their annual bonus into the fund/s they manage
Additional remarks, if any (maximum 250 words)
15. AUM change, 3Y: How has your firm's total assets under management (AUM)[iii] changed in the last 3 years?
Formula: (AUM in the latest quarter-end - AUM 3 years ago) - (Asset appreciation in same time frame) / AUM 3 years ago
Increased 0%
Increased 1-5%
Increased 6-10%
Increased 11-15%
Increased 16-20%
Increased 21-25%
Increased 25-30%
Increased more than 30%
Decreased 0%
Decreased 1-5%
Decreased 6-10%
Decreased 11-15%
Decreased 16-20%
Decreased 21-25%
Decreased 25-30%
Decreased more than 30%
Inception period less than 3 years
16. Distribution channel mix: This question applies to ALL of your firm's COMINGLED fund products distributed in Asia ex-Japan, including funds not participating in this exercise; please exclude segregated mandates. What channels are the products distributed through currently?
Private banks
Priority/affluent banks
Retail banks
Insurers (via the insurer's fund platforms)
Financial advisors
Online platforms (traditional, not artificial intelligence advisors)
Artificial intelligence (AI) advisory platforms
Funds of funds
Direct distribution to institutional asset owners (family offices, pension funds, insurance companies' general assets, corporates, sovereign wealth funds, official institutions, foundations, endowments, and other institutions). Please note this relates to comingled funds, NOT segregated mandates.
Additional remarks, if any (maximum 250 words)
17. Distribution channel growth, 3Y: This question relates to ALL your firm's commingled funds distributed in Asia ex-Japan, including funds not participating in this exercise; please exclude segregated mandates. How many new distribution channels were gained or lost in the last 3 years?
Gained 0 distribution channels
Gained 1-3 distribution channels
Gained 4-6 distribution channels
Gained 7-10 distribution channels
Gained more than 10 distribution channels
Lost 0 distribution channels
Lost 1-3 distribution channels
Lost 4-6 distribution channels
Lost 7-10 distribution channels
Lost more than 10 distribution channels
Inception period less than 3 years
Additional remarks, if any (maximum 250 words)
18. Compliance: Has your firm, or its officers, breached any regulatory, legal or other compliance thresholds in the last 5 years?
Yes, and we'd like to explain the breach and any remedial, preventative steps taken in maximum 250 words.
Yes, but we choose NOT to explain the breach and any remedial, preventative steps taken
No, we have not made any breaches
Please explain the breach and any remedial, preventative steps taken in maximum 250 words.
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