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永續性 - 實力獎項 - 負責任投資ETF

"*" indicates required fields

Submission ID
Region
Category
Name of firm
The Flagship Fund's name
The Fund's ISIN Code
Data as of the quarter-end
DD slash MM slash YYYY
Total Fund Size (including all share classes)
Total Number of Portfolio Manager(s)
Total Number of Analysts

支柱能力1:投資策略
Pillar 1: Investment Proposition

1. 管理風格:該ETF按以下方式管理;請單選。
Management style: This ETF is managed according to the following style. Please select only one response.
2. 指數加權:此問題與您的ETF所依據的指數有關。該指數的權重是基於什麼?請單選。
Index weighting: This question is about the index on which your ETF is based. What is the weighting of that index based on? Please select only one response.
3. 競爭優勢:與同類型ETF相比,該ETF對投資者來說有何獨特之處?請選擇適用選項(多選)。
Competitive edge: Compared with similar ETFs available, what is your ETF's unique proposition to investors? Please select all applicable responses.
Additional Remarks, if any (maximum 250 words)
4. 回答第4題前請先完成第1題
Please complete Question 1 before answering Question 4.
4. 指數選擇:當你選擇此ETF的基本指數,您的要求是什麼?請選擇適用選項(多選)。
Index selection: When you selected the base index for this ETF, what were your requirements? Please select all responses that apply.
Additional remarks, if any (maximum 250 words)
4. 超額報酬來源或表現驅動因:過去三年內 (如主動ETF發行少於3年,請提供最初的超額報酬來源),主要的超額報酬來源是什麼?請選擇適用選項(多選)。
Alpha sources, or performance drivers What were the major sources of alpha, or performance drivers, over the last 3 years (if your active ETF is fewer than 3 years old, then please provide alpha sources since inception)? You may select more than one response.
Additional remarks, if any (maximum 250 words)
5. 您的旗艦基金是否已獲批准或符合歐盟永續財務揭露規範 (SFDR)?
Is your flagship fund approved or aligned with the EU Sustainable Finance Disclosure Regulation (SFDR)?
已選:是的,我們的基金已獲得批准/符合 SFDR – 第 8 條:聚焦促進環境和社會,並且我們的整合特徵包括公司:
Selected: Yes, our fund is approved/aligned with the SFDR – Article 8: environmental and socially promoting, and our integration Characteristics include the companies:
Selected: Other characteristics that may apply, and please define the qualitative metrics:
已選:是的,我們的基金符合 SFDR – 第 9 條:產品具備永續投資的目標,並且我們的投資活動針對:
Selected: Yes, our fund is aligned with the SFDR – Article 9: products targeting sustainable investments as an objective, and our investment activities are targeted at:
Selected: Please specify the framework(s) you are aligned with:
6. 您在多大程度上考慮了主要不利影響 (PAI)?
To what extent do you consider Principal Adverse Impact (PAI)?
已選:我們評估的環境關鍵指標包括:
Selected: We assess Environmental KPIs, including:
Selected: Other KPIs that may apply, and please define the qualitative metrics such as deforestation policy, biodiversity protection, water strategy, etc. applicable to the Environmental pillar:
已選:我們評估的社會關鍵指標包括:
Selected: We assess Social KPIs, including:
Selected: Other KPIs that may apply, and please define the qualitative metrics such as forced labor, child labor, social grievance mechanisms, supplier code of conduct, etc. applicable to the Social pillar:
已選:我們評估的治理關鍵指標包括:
Selected: We assess Governance KPIs, including:
Selected: Other KPIs that may apply, and please define the qualitative metrics such as anti-corruption policy, anti-competitive legal proceedings, whistleblowing, etc. applicable to the Governance pillar:
7. 您的策略是否符合氣候相關財務揭露工作小組(TCFD)的建議?
Is your strategy aligned with the TCFD recommendations?
已選:是的 - 請解釋針對四大主題採取的政策和行動:
Selcted: Yes - Please explain your policies and actions taken towards the four major themes:
Governance: How is your organization’s governance designed around climate-related risks and opportunities?
Strategy: What does your organization’s strategy address the actual and potential impacts of climate-related risks and opportunities on the organization’s businesses, approach, and financial planning?
Risk Management: What are the processes used by your organization to identify, assess, and manage climate-related risks?
Metrics and Targets: What are the high-level metrics and targets used to assess and manage relevant climate-related risks and opportunities?
8. 投資目標:請選擇所有適用於你的ETF投資目標。
Investment Objective: Please select all the statements that apply to the ETF’s investment objectives.
Additional remarks, if any (maximum 100 words)
9. 您的旗艦基金是否符合聯合國可持續發展目標 (UNSDG)?
Is your flagship fund aligned with the United Nations Sustainable Development Goals (UNSDG)?
已選:是的 - 您的目標是實現哪些聯合國可持續發展目標? 請選擇所有適用的選項。
Selected: Yes - Which are UNSDG you have targeted to achieve impact? Please select all that apply.
10. 負責任投資策略:ETF追蹤的指數是否集中於這些策略中的一項或多項?請選擇所有適用的策略。
Responsible Investment Strategies: Is the ETF’s underlying index focused on one or more of these strategies? Please select all strategies that apply.
Selected: Other strategies (please specify)
What method and different information sources are being used to identify ESG indexes that reflect a set of values or ethical positions?
12. 在ESG編入,主動所有權和政策參與方面,被動投資策略是否採用以下負責任投資方法?請選擇所有適用的選項。
Does the passive investment strategy adopt the following responsible investing approaches in ESG incorporation, Active Ownership and Policy Engagement? Please select all that apply.
Additional remarks, if any (maximum 250 words)
Does the ETF underlying index rely on specific sustainability ratings when including a company as a constituent? Please explain which indices are used and the fundamental of the rating systems. (Maximum 500 words)

支柱能力2:執行與績效
Pillar 2: Execution & Performance

1. 有效性:請單選有關過去12個月內的表現。
Effectiveness: Please select only one response related to performance in the last 12 months. [i] Net of all costs and charges borne by investors.
2. 費用比率:過去12個月內,相對同類的平均值(例如中國A股ETF,固定收益ETF, 主動型ETF), 您的ETF 費率如何?請單選。
Expense ratio: What is your ETF's expense ratio, over the past 12 months, compared with its peer group average (for example China A-share ETFs, fixed income ETFs, active ETFs, etc.)? Please select only one response.
3. 買賣差價:過去12個月內,您ETF的平均買賣差價是多少?
Bid-ask spread: What is your ETF's average bid-ask spread over the last 12 months?
4. 造市商, 1年:過去12個月內,此ETF平均有多少造市商?
Market makers, 1Y: How many market makers, on average, did this ETF have in the last 12 months?
5. 造市商, 2年:過去24個月內,此ETF平均有多少造市商?
Market makers, 2Y: How many market makers, on average, did this ETF have in the last 24 months?

支柱能力3:營運管理
Pillar 3: Operations

1. 首席投資組合經理的年資:此ETF的首席投資組合經理管理了類似ETF的年資是 (從事其他公司的ETF管理經驗可包括在內)?請單選。
Lead manager experience: How long has the LEAD manager of this ETF been managing similar ETFs? You may include ETF management experience gained in other firms. Please select only one answer.
2. 投資團隊的年資:投資團隊在管理類似ETF的平均年資是 (從事其他公司的ETF管理經驗可包括在內)?
Investment team experience: What is the average experience of the investment team managing similar ETFs? You may include ETF management experience gained in other firms. Please select only one answer.
3. 首席投資組合經理的任期:此ETF的首席投資組合經理在公司的任期多長?
Lead manager tenure: What is the tenure of the LEAD manager of this ETF at the current firm?
4. 透明度:您多久披露一次ETF的全部持股情況?
Transparency: How often do you disclose the full holdings of the ETF?

支柱能力4:盡職治理
Pillar 4: Stewardship

1. 盡職治理行為:已代表投資者開展了盡職治理的行為 [iv], 這些行為包括:
Stewardship Activity: Engagement activities [iv] have been undertaken on behalf of investors to put stewardship into effect. These activities include:
Additional Remarks, if any (maximum 250 words)
2. 盡職治理範圍 – 監督:我們對被投資對象/潛在被投資對象的監督範圍包括以下內容:
Stewardship Monitoring scope: Our stewardship for investees/potential investees monitoring scopes include the following:
Additional Remarks, if any (maximum 250 words)
3. 盡職治理團隊:設立了一個專門的盡職治理團隊 [iv] 來管理具體的公司和問題,其中包括以下:
Stewardship Team: A dedicated stewardship team [iv] is set up to flag specific companies and issues for engagement which includes the undertakings below:
Additional Remarks, if any (maximum 250 words)
4. 代理投票:在產品層面,我們有透明的代理投票[iv]政策,這是該特定投資策略所獨有的
Proxy Voting: At the product level, we have transparent proxy voting [iv] policies that are unique to this particular investment strategy:
Additional Remarks, if any (maximum 250 words)
已選:是
Selected: Yes
已選:在投票反對管理層時,通常會根據以下問題確定優先級:
Selected: When voting against management, the following issues are typically prioritized based on:
已選:我們可能會在某個問題上投票反對管理層,並且當代理投票委員會在某個問題上投票反對管理層時:
Selected: We may vote against management on an issue, and when the Proxy Voting Committee has voted against management on an issue:
5. 投票披露:請選擇描述貴公司與投票相關的行為說明,可選擇多個適用項
Voting Disclosure: Please select the statements that describe your firm's practices related to voting. You may select more than one statement:
Additional Remarks, if any (maximum 250 words)
6. 參與頻率:在過去一年中,我們與被投資對象/潛在被投資對象就上述重大[ii]問題進行了接觸:請包括集體參與和單獨進行的參與。
Engagement frequency: Teamwide over the last 1 year, we have engaged with investees/potential investees on the material[ii] issues selected above: Please include both collective engagement and engagement conducted on your own.
Additional Remarks, if any (maximum 250 words)
7. 參與披露:您是否向投資人披露了您的主要參與活動及其結果?
Engagement Disclosure: Do you disclose your key engagement activities, along with the outcomes, to investors?
Additional Remarks, if any (maximum 250 words)
8. 實例說明:請提供一個實際的例子來說明您如何執行下列選項之一:
Actual Example - Please provide an ACTUAL example of how you executed ONE of the following.
Please briefly describe the critical challenge/s, actions taken, results and lessons learned, in a maximum of 500 words:
支柱能力5:企業責任與實力
Pillar 5: Corporate Responsibility and Strength

請於獨立「支柱能力5:企業責任與實力」問卷完成此支柱能力。對於貴公司申報的所有投資策略,您只需要對支柱能力5提供一次回答。 Please complete this pillar in separate "Pillar 5: Corporate Responsibility and Strength" questionnaire. You will only need to respond to Pillar 5 ONCE for all your firm's investment strategies.
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