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Gatekeeper Selection
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Pensions
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永續性 - 實力獎項 - 負責任投資ETF
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" indicates required fields
參賽編號
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Submission ID
區域
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Region
類別
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Category
公司名稱
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Name of firm
旗艦基金名稱
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The Flagship Fund's name
旗艦基金 ISIN 代碼
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The Fund's ISIN Code
資料截至季末日
Data as of the quarter-end
DD slash MM slash YYYY
基金規模（包括所有級別）
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Total Fund Size (including all share classes)
該基金策略投資組合經理數量
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Total Number of Portfolio Manager(s)
該基金策略分析師數量
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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.
被動管理，追蹤指數(包括smart beta和其他複製任何指數的策略，即使該指數有基本或其他增值的方法 -- 重要的是ETF本身是追蹤指數並沒有主動的投資組合管理決策) (Passive, index-tracking (including smart beta and other strategies that replicate any index, even if the index has a fundamental or other value-added approach -- importantly, the ETF itself is index-tracking with no active portfolio management decisions))
主動管理，例如投資經理主動決策；ETF的管理就如共同基金一樣；兩者的分別是該檔ETF是在交易所上市。 (Actively managed i.e. the portfolio manager makes active decisions; this ETF is managed just as an active mutual would be managed; the only difference is, this ETF is listed on a stock exchange)
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.
價格加權 (Price weighted)
市值加權 (Market-cap weighted)
等權重 (Equal weighted)
基本面加權 (Fundamental weighted)
主動投資組合管理，並非依據指數 (Active portfolio management, not based on any index)
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.
對於散戶投資人和小型機構，通過我們的ETF，他們能夠投資於通常僅供大型機構投資者投資的資產，市場或策略。 (For retail investors and smaller institutions, our ETF provides access to assets, markets or investment strategies that are usually only available to large, major institutional asset owners)
讓所有投資人都能投資難以接觸的市場或資產 (Access to inaccessible markets, or assets, for all investors)
使用當地時間進行交易，而不是北美或歐洲時間 (Trading in local time, instead of North American or European time)
更有效的執行，帶來更緊密的買賣、較低費用比率等 (Better execution, resulting in tighter bid/ask, lower expense ratios, etc.)
更好的潛在資產流通性，更好的風險管理 (Better liquidity of underlying assets, leading to better risk management)
實物複製或持有，而不是合成或其他非實物方法 (Physical replication or holdings, as opposed to synthetic or other non-physical means)
我們的ETF是基於不同與其他同業的指數，同時帶給我們更好的風險報酬 (Our ETF is based on a different index from competing ETFs, giving our ETF a better risk-return profile)
我們的ETF在3年或更長時間內具有較小的追蹤誤差 (Our ETF has a lower tracking error over 3 years or more)
我們的ETF有較長的歷史紀錄 (Our ETF has a longer track record)
我們的ETF收取較低的管理費用 (Our ETF charges lower management fees)
我們擁有更高的ETF品牌知名度 (Our ETF has a better known brand)
如有附加說明，限250字以內
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.
該指數出自一家以強大的研究和流程而聞名的公司 (The index was produced by a firm reputed for robust research and strong processes)
該指數出自一家擁有超過10年指數追蹤紀錄的公司 (The index was produced by a company with more than 10 years' track record in indexing)
該指數允許以合理的成本和風險進行85-100%的實物複製 (The index allows for 85-100% physical replication at reasonable costs and risks)
該指數允許以合理的成本和風險進行85-100%的合成複製 (The index allows for 85-100% synthetic replication at reasonable costs and risks)
該指數的成分在二級市場中具有合理至高程度的流動性 (The index's components have reasonable to high liquidity in the secondary markets)
該指數的成分股的交易可達至成本效益 (The index's components can be traded cost-effectively)
該指數多元化，並非過度著重於單一的證券、行業、國家/地區、信用等級等 (The index is reasonably diversified and is not overly concentrated in any single security, sector, country/region, credit quality, etc.)
該指數的成分具有平均或高於平均的ESG評級 (The index constituents have average or above-average ESG ratings)
指數供應商擁有明確表達和公開的管理法典/框架/實踐 (The index provider has a stewardship code/framework/practices that are clearly articulated, explicit and publicly available)
指數授權的價格具有競爭力 (The index license is competitively priced)
如有附加說明，限250字以內
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.
市場錯誤定價的證券/資產 (Securities/assets mispriced by the market)
市場誤解的證券/資產 (Securities/assets misunderstood by the market)
市場受惠於循環性因素的證券/資產 (Securities/assets that benefited from cyclical factors)
散戶投資人和/或小型機構擁有者相對難以接觸到的證券/資產 (Securities/assets that are relatively inaccessible by retail investors and/or smaller institutional asset owners)
狀況特殊的證券/資產 (Securities/assets in special situations)
在市場恐慌之際選擇基本面強勁的證券/資產 (Picking up securities/assets with strong fundamentals during times of market panic)
風險預算與配置 (Risk budgeting and allocation)
資產配置於特定產業、地理區域、資產類別 (Asset allocation to specific sectors, geographies, asset classes)
未被主流投資者發現的涉及某些行業、商業模式的證券和資產 (Securities/assets in a sector/business model that has not yet been discovered by mainstream investors)
我們的量化投資方式 (Our quantitatively based investment approach)
環境評分高於平均水平的證券/資產 (Securities/assets with higher-than-average environmental scores)
社會評分高於平均水平的證券/資產 (Securities/assets with higher-than-average social scores)
公司治理評分高於平均水平的證券/資產 (Securities/assets with higher-than-average governance scores)
如有附加說明，限250字以內
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)?
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： (Yes, our fund is approved/aligned with the SFDR – Article 8: environmental and socially promoting, and our integration Characteristics include the companies: )
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： (Yes, our fund is aligned with the SFDR – Article 9: products targeting sustainable investments as an objective, and our investment activities are targeted at:)
沒有，我們沒有獲得批准，但我們正處於批准過程中 (No, we are not approved, but we are in the middle of an approval process)
沒有，我們沒有獲得批准，但我們計劃獲得批准/變得符合 (No, we are not approved, but we plan to obtain approval/becoming aligned)
沒有，我們既沒有獲得批准也沒有符合，我們在未來 12 個月內沒有這樣做的計劃 (No, we are neither approved nor aligned, and we have no plans to do so within the next 12 months)
沒有，但我們與另一個框架保持一致： (No, but we are aligned with another framework:)
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:
不參與有爭議的環境相關活動，例如生物武器、集束炸彈、鈾、採礦、化石燃料、水力壓裂等。 (Not being involved in controversial environmental-related activities such as biological weapons, cluster bombs, uranium, mining, fossil fuel, hydraulic fracking, etc.)
不參與有爭議的社會相關活動，如虐待動物、動物試驗、酒精、成人遊戲、煙草等。 (Not being involved in controversial social-related activities such as animal cruelty, animal testing, alcohol, games adult, tobacco, etc.)
聯合國全球契約中至少符合 10 條原則中的 5 條原則 (UNGC alignment at least 5 out of the 10 principles)
健全的管理架構，如董事長的獨立性、大多數董事的獨立性等。 (Sound management structure such as independence of the Chairman, independence of most of the directors, etc. )
良好的員工關係，例如衡量員工的滿意度、員工的安全與健康等。 (Sound Employee Relation such as measuring employees’ satisfaction, employee’s safety and health, etc.)
其他可能適用的特徵，請闡明定性指標： (Other characteristics that may apply, and please define the qualitative metrics:)
已選：其他可能適用的特徵，請闡明定性指標：
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:
那些有助於實現環境目標，例如能源、可再生能源、原材料、水和土地的使用、廢物的產生、溫室氣體排放等。 (That contributes to an environmental objective, such as the use of energy, renewable energy, raw materials, water and land, the production of waste, greenhouse gas emissions, etc. )
那些有助於實現社會目標，尤其是解決不平等或促進社會凝聚力、社會融合、勞資關係等的投資。 (That contributes to a social objective, particularly an investment tackling inequality or fostering social cohesion, social integration, labor relations, etc.)
遵循良好的治理實踐，尤其是健全的管理結構、員工關係等。 (That follow good governance practices, particularly sound management structures, employee relations, etc.)
不會造成重大傷害 (Do no significant harm)
至少有一個綠色收入來源 (That has at least one stream of green revenue)
從事至少一項與環境相關的永續發展目標 (That engage in at least one Environmental related SDG)
從事至少一項與社會相關的永續發展目標 (That encounter in at least one Social related SDG)
進行主要不利影響（PAI）篩選 (That does PAI screening)
遵守國際規範，如國際勞工組織公約或經合組織指導方針 (That abide by International norms such as the ILO Conventions or OECD Guidelines)
與聯合國全球契約保持一致 (That is aligned with the UNGC)
已選：請闡明您所使用的框架：
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)?
是的，我們考慮了投資決策對可持續性因素的主要不利影響，無論是重大的還是可能是重大的影響 (Yes, we consider principal adverse impacts, whether material or likely to be material, of investment decisions on sustainability factors)
我們整合了投資流程，包括在我們的盡職調查流程中，考慮到主要不利影響以及相關財務風險和相關永續性風險等 (We integrate with our processes, including in our due diligence processes, the procedures for considering the principal adverse impacts alongside the relevant financial risks and relevant sustainability risks)
我們有使用不利永續發展的因素作為指標，這些因素是對永續性（無論是環境還是社會）產生負面影響，與投資決策相關的因素 (We use indicators as adverse sustainability factors which have a negative effect on sustainability, whether environmental or social-related ones, which are linked to investment decisions)
我們評估的環境關鍵指標包括： (We assess Environmental KPIs, including: )
我們評估的社會關鍵指標包括： (We assess Social KPIs, including: )
我們評估的治理關鍵指標包括： (We assess Governance KPIs, including: )
已選：我們評估的環境關鍵指標包括：
Selected: We assess Environmental KPIs, including:
空氣排放 (Air Emissions)
能源管理 (Energy Management)
環境管理 (Environmental Management)
棲息地保護 (Habitat Protection)
廢物管理 (Waste Management)
水資源管理 (Water Management)
其他可能適用的關鍵指標 (Other KPIs that may apply)
已選：其他可能適用的關鍵指標，請定義適用於環境方面的定性指標，例如森林砍伐政策、生物多樣性保護、水資源戰略等：
*
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:
人力資本 – 多元化 (Human Capital-Diversity)
人力資本 – 人權 (Human Capital -Human Rights)
人力資本 – 安全與健康 (Human Capital-Safety & Health)
供應鏈管理 (Supply Chain Management)
其他可能適用的關鍵指標 (Other KPIs that may apply)
已選：其他可能適用的關鍵指標，請定義適用於社會方面的定性指標，例如強迫勞動、童工、社會申訴機制、供應商行為準則等：
*
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:
反貪腐 (Anti-Corruption)
商業道德 (Business Ethics)
管理層和董事會 (Management & Board)
其他可能適用的關鍵指標 (Other KPIs that may apply)
已選：其他可能適用的關鍵指標，請定義適用於治理方面的定性指標，例如反貪腐政策、反競爭法律程序、舉報等：
*
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?
是的 (Yes)
不，我們沒有將 TCFD 視為指導方針 (No, we do not consider TCFD as a guideline)
不，我們沒有將 TCFD 視為指導方針，但我們計劃在未來 12 個月內實施該框架 (No, we did not consider TCFD as a guideline, but we have plans to implement this framework within the next 12 months)
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:
I. 治理：如何圍繞與氣候相關的風險和機遇來設計治理？
Governance: How is your organization’s governance designed around climate-related risks and opportunities?
II. 策略：策略如何解決氣候相關風險和機遇對貴公司業務、方法和財務規劃的實際和潛在影響？
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?
III. 風險管理：用於識別、評估和管理氣候相關風險的流程是什麼？
Risk Management: What are the processes used by your organization to identify, assess, and manage climate-related risks?
IV. 指標和目標：用於評估和管理相關氣候相關風險和機遇的主要指標和目標是什麼？
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.
關注環境，社會或公司治理問題 (Focuses on environmental, social or governance issue)
有特定目標的投資 (Invests with a purpose)
尋求在不犧牲績效的情況下取得可持續的結果 (Seeks to achieve a more sustainable outcome without sacrificing performance)
避免投資於存在某些風險或違反投資者價值觀的公司或產業 (Seeks to eliminate exposures to companies or sectors that pose certain risks or violate an investor's values)
旨在實現可衡量的永續成果及財務回報 (Seeks to achieve a measurable sustainable outcome alongside a financial return)
如有附加說明，限100字以內
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)?
是的 (Yes)
沒有 (No)
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.
無貧困 (Goal 1: No Poverty)
零飢餓 (Goal 2: Zero Hunger)
良好健康與福祉 (Goal 3: Good Health and Well-Being)
優質教育 (Goal 4: Quality Education)
性別平等 (Goal 5: Gender Equality)
清潔飲水與衛生設施 (Goal 6: Clean Water and Sanitation)
經濟適用的清潔能源 (Goal 7: Affordable and Clean Energy)
體面工作與經濟增長 (Goal 8: Decent Work and Economic Growth)
工業、創新與基礎建設 (Goal 9: Industry, Innovation, and Infrastructure)
減少不平等 (Goal 10: Reduced Inequalities)
永續城市與社區 (Goal 11: Sustainable Cities and Communities)
責任消費與生產 (Goal 12: Responsible Consumption and Production)
氣候行動 (Goal 13: Climate Action)
水下生物 (Goal 14: Life Below Water)
陸地生物 (Goal 15: Life on Land)
和平，正義與強大機構 (Goal 16: Peace, Justice, and Strong Institutions)
促進目標實現的夥伴關係 (Goal 17: Partnerships)
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.
股東參與 (Shareholder engagement)
陽性篩查 (Positive screening)
陰性篩查 (Negative screening)
ESG融合 (ESG integration)
主題投資 (Thematic investing)
影響力投資 (Impact investing)
其他策略（請說明） (Other strategies (please specify))
已選：其他策略（請說明）
*
Selected: Other strategies (please specify)
11. 使用什麼方法和不同的信息源來識別反映一組價值或道德立場的ESG指數？
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.
特定ESG因素的總體風險通過調整成分的權重來減少或增加 (The overall exposure to a particular ESG factor is reduced or increased by adjusting the weights of constituents, dependent on ESG factors)
根據投資者的偏好、價值觀或道德標準過濾或篩選投資領域 (Applying filters or screens to the investment universe based on an investor’s preferences, values, or ethics)
進行額外的篩選以排除董事會組成具爭議的多數控股公司 (Applying additional screen to exclude majority held companies with a controversial board composition)
公司是根據他們對特定主題（例如清潔技術）的了解程度來選擇 (Companies are selected based on their exposure to specific themes (e.g. clean technology))
與公司討論ESG問題以改善處理方法，這可以單獨完成或與其他投資者合作完成。 (ESG issues are discussed with companies to improve their handling of such issues. This can be done individually, or in collaboration with other investors.)
就特定的ESG問題通過決議進行表決或提議股東決議來正式表示同意或不同意 (Formally expressing approval or disapproval by voting on resolutions or proposing shareholder resolutions on specific ESG issues)
與監管機構、政府或準政府機構討論 ESG問題，目的是更改有關公司或資本市場處理某些ESG問題的法規或指南 (ESG issues are discussed with regulators, government, or quasi-government bodies with the objective of changing the regulation or guidance on how corporations or capital markets approach certain ESG issues)
如有附加說明，限250字以內
Additional remarks, if any (maximum 250 words)
13. 將一家公司作為成分股時，ETF追蹤指數是否依賴於特定的永續性評級？請說明使用的指數及評級系統的基礎。（限500字）
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.
追蹤指數型ETF的R平方值低於75% (My index-tracking ETF's R-squared is below 75%)
追蹤指數型ETF的R平方值介於75%-85% (My index-tracking ETF's R-squared is between 75% - 85%)
追蹤指數型ETF的R平方值高於85% (My index-tracking ETF's R-squared is above 85%)
主動管理ETF的超額報酬淨值[i]高於0 (My ACTIVELY MANAGED ETF's NET[i] Alpha is above 0)
主動管理ETF的超額報酬淨值[i]低於0 (My ACTIVELY MANAGED ETF's NET[i] Alpha is below 0)
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.
高於平均25個以上的基準點 (More than 25 basis points ABOVE average)
高於平均20-25個基準點 (20 - 25 basis points ABOVE average)
高於平均15-20個基準點 (Between 15 -20 basis points ABOVE average)
高於平均10-15個基準點 (Between 10 - 15 basis points ABOVE average)
高於平均1-10個基準點 (Between 1 - 10 basis points ABOVE average)
低於平均0-5個基準點 (0 - 5 basis points BELOW average)
低於平均5-10個基準點 (Between 5 - 10 basis points BELOW average)
低於平均10-15個基準點 (Between 10 -15 basis points BELOW average)
低於平均15-20個基準點 (Between 15 - 20 basis points BELOW average)
低於平均20個以上的基準點 (More than 20 basis points BELOW average)
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?
超過2％ (Above 2%)
在1.5％- 2％之間 (Between 1.5% - 2%)
在1％- 1.5％之間 (Between 1% - 1.5%)
在0.5％- 1％之間 (Between 0.5% - 1%)
在0.25％- 0.5％之間 (Between 0.25% - 0.5%)
低於0.25% (Below 0.25%)
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?
2個或更少 (2 or fewer)
3-5個 (3 to 5)
6-8個 (6 to 8)
9-11個 (9 to 11)
12-14個 (12 to 14)
15個或以上 (15 or more)
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?
2個或更少 (2 or fewer)
3-5個 (3 to 5)
6-8個 (6 to 8)
9-11個 (9 to 11)
12-14個 (12 to 14)
15個或以上 (15 or more)
此ETF發行少於24個月 (This ETF was listed less than 24 months ago)
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.
少於1年 (Less than 1 year)
1-2年 (1 - 2 years)
3-5年 (3 -5 years)
超過5年，但少於10年 (More than 5 years but fewer than 10 years)
10年或以上 (10 or more years)
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.
少於1年 (Less than 1 year)
1-2年 (1 - 2 years)
3-5年 (3 -5 years)
超過5年，但少於10年 (More than 5 years but fewer than 10 years)
10年或以上 (10 or more years)
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?
少於1年 (Less than 1 year)
1-2年 (1 - 2 years)
3-5年 (3 -5 years)
超過5年，但少於10年 (More than 5 years but fewer than 10 years)
10年或以上 (10 or more years)
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?
每日 (Daily)
每星期 (Weekly)
每月 (Monthly )
每季 (Quarterly)
每年 (Annually)
我們從未披露全部持股情況 (We never disclose the full holdings)
支柱能力4：盡職治理
Pillar 4: Stewardship
[i]盡職治理是一套指導負責任持股的行為/原則/政策。管理者投資時要意識到被投資企業不僅能夠為股東創造長期價值，而且能夠為社會和經濟創造長期價值。 [i] Stewardship is a set of behaviors, principles, and/or policies guiding responsible shareholding. Stewards invest with awareness of the investees' ability to create long-term value not just for shareholders but also for society and the economy. [ii] 重大影響 是指有可能影響公司財務狀況或經營業績的問題，因此對投資者而言最為重要。 重要性因行業和商業模式而異。 它們可能包括但不限於供應鏈、員工福利、環境實踐、產品安全等。 [ii] Material impacts are events likely to affect a company's operations and financial position, positively or negatively. Materiality varies from one industry to another and one business model to another. They may include but are not limited to supply chain, employee welfare, environmental practices, product safety, etc. [iii]具體的定義：明確定義的框架、參數、原則、方法/技術和目標可供即將實施。 [iii] Definition of concrete: Explicitly and clearly defined framework, parameters, principles, methods/techniques, and objectives are available for imminent implementation [iv] 適應 CFA 協會投資產品 ESG 披露準則意見徵詢稿，2021 年 5 月 [iv] Adaptation of the Exposure Draft CFA Institute ESG Disclosure Standards For Investment Products, May 2021
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:
參加股東大會 (Participation in a shareholder meeting)
對管理層或股東決議投票，投棄權票或拒絕投票 (Casting, abstaining, or withholding a vote on a management or shareholder resolution, on management or shareholder resolution)
提交股東決議 (Filing a shareholder resolution)
與被投資公司的業務關係的開始、延續、修改或終止 (Commencement, continuation, modification, or discontinuation of an engagement with an investee company)
履行契約 (Enforcement of covenants)
行使認股權證或嵌入式期權 (Exercise of warrants or embedded options)
證券借貸 (Lending of securities)
擔任被投資公司董事會成員，負責被投資公司的招聘、解聘和指導管理層。 (Taking a seat on the board of directors of an investee company, hiring, firing, and directing the management of an investee company)
維護和改善不動產和實物資產 (Maintenance and improvement of real estate and physical assets)
倡導強有力的環境、社會或治理實踐 (Advocating for strong environmental, social, or governance practices)
對影響或可能影響投資產品的公共政策或建議， 表明立場支持或反對 (Stating a position or advocating for or against public policies or proposals that affect, or may affect, the investment product)
我們是被動管理者，我們認為沒有需要採取積極的參與方式 (We are a passive manager and we do not think it is necessary to take an active approach for engagement)
我們目前沒有針對上述任何一項的盡職治理政策，但我們有具體的[iii] 計劃在未來 12 個月內開始至少監測上述部分 (We do not currently have a stewardship policy for engagement any of the above, BUT we have concrete[iii] plans to begin monitoring at least some of the above within the next 12 months)
我們沒有做上述任何內容，也並沒有具體計劃[iii]去做 (Do not do any of the above and have no concrete[iii] plans to do so)
如有附加說明，限250字以內
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:
關於環境重大問題 (On material[ii] environmental issues)
關於碳足跡和氣候風險披露 (On carbon footprint and exposures to climate risk)
關於社會重大問題 (On material[ii] social issues)
關於治理重大問題 (On material[ii] governance issues)
關於企業文化和薪酬 (On corporate culture and remuneration)
關於資本結構 (On capital structure)
關於戰略 (On strategy)
整體重大風險 (On overall material risks)
關於透明度 (On transparency)
我們是被動管理者，我們認為沒有需要監察發行人 (As passive managers, we do not think it is necessary to monitor our issuers)
我們目前不監控上述任何一項，但我們有具體計劃[iii]在未來12個月內開始至少監控上述部分 (We do not currently monitor any of the above, BUT we have concrete[iii] plans to begin monitoring at least some of the above within the next 12 months)
我們沒有做上述任何內容，也並沒有具體計劃[iii]去做 (Do not do any of the above and have no concrete[iii] plans to do so)
如有附加說明，限250字以內
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:
所有書面溝通和會議記錄，包括審計參與的目標結果，都記錄在盡職管理系統中 (All written communications and meeting records, including targeted outcomes of the engagement, are logged in the stewardship management system )
參與旨在改善公司的環境和社會資源管理，並降低與環境和社會實踐活動相關的風險 (Engagement is undertaken with the intent to improve a company's environmental and social resource management and to reduce risks related to environmental and social practices or activities)
參與活動包括面對面和虛擬會議、書面信函和電子郵件 (Engagement activities include in-person and virtual meetings, written correspondence, and emails)
參與活動可與公司董事會、執行管理層或投資者關係進行，可以獨立進行，也可以通過基金的代理投票和參與服務提供商與其他投資者合作進行 (Engagement may occur with a company's board of directors, executive management, or investor relations and may be conducted independently or in collaboration with other investors through the fund's proxy voting and engagement service provider)
基金的管理團隊每季度根據目標結果審查每項參與工作的進展，並根據需要確定後續步驟 (The Fund's Stewardship Team reviews progress toward each engagement effort quarterly against the targeted outcomes and determines next steps as needed)
我們是被動管理者，我們認為沒有需要成立盡職治理團隊以採取積極的參與方式 (As passive managers, we do not see a need to establish a team for active engagement)
我們目前沒有一個盡職治理團隊，但我們有具體的[iii] 計劃在未來 12 個月內開始監測 (We do not currently have a stewardship team, BUT we have concrete[iii] plans to begin monitoring at least some of the above within the next 12 months)
我們沒有做上述任何內容，也並沒有具體計劃[iii]去做 (Do not have a team to do any of the above and have no concrete[iii] plans to do so)
如有附加說明，限250字以內
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:
是 (Yes)
我們是被動管理者，我們認為沒有需要進行投票 (We are a passive manager and we do not think it is necessary for us to vote)
我們沒有進行投票 (We do not vote)
我們不能/不願意透露我們的投票實踐 (We cannot/prefer not to divulge our voting practices)
如有附加說明，限250字以內
Additional Remarks, if any (maximum 250 words)
已選：是
Selected: Yes
我們披露投資組合經理對投資產品進行代理投票，而被投資方的參與則在組織層面處理 (We disclose that the portfolio managers undertake proxy voting for the investment product while investee engagements are handled at the organizational level)
公司的代理投票委員會完全自主決定投票決議 (The firm's Proxy Voting Committee purely determines voting decisions)
公司的代理投票委員會結合策略團隊和第三方代理顧問的意見來決定投票決議 (The firm's Proxy Voting Committee determines voting decisions in conjunction with input from the strategy teams and a third-party proxy advisor)
所有代理投票都記錄並存儲在我們的內部代理投票和參與系統中 (All proxy votes are recorded and stored in our internal proxy voting and engagement system)
在投票反對管理層時，通常會根據以下問題確定優先級： (When voting against management, the following issues are typically prioritized based on:)
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： (We may vote against management on an issue, and when the Proxy Voting Committee has voted against management on an issue:)
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:
對公司財務表現的潛在影響 (Their potential to affect a company's financial performance)
董事會獨立性 (Board independence)
問責 (Accountability)
股東權利 (Shareholder rights)
透明度 (Transparency)
ESG報告 (ESG reporting)
工作場所健康和安全問題 (Workplace health and safety issues)
可能增加監管罰款或風險的環境資源管理問題 (Environmental resource management issues that may increase the likelihood of regulatory fines or risks)
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:
參與團隊發起參與工作，與管理層討論具體的問題 (The engagement team initiates an engagement effort to discuss our specific concerns with management )
我們與公司合作以鼓勵最佳治理實踐，包括那些與重大 ESG 信息報告相關的治理實踐 (We engage with companies to encourage best governance practices, including those related to reporting on material ESG information)
我們會啟動參與工作，並在我們的代理投票和參與系統中創建文件，其中包括公司名稱、確定的具體問題、目標結果和初始書面溝通的副本 (An engagement effort will be initiated, and a file is created in our proxy voting and engagement system that includes the company name, the specific issue identified, the targeted outcome, and a copy of the initial written communication)
根據建議的跟進時間設置自動提醒，用定期於審查每一個參與工作 (An automatic alert for review of each individual engagement effort is put in place based on the recommended follow-up time frame)
參與團隊持續跟踪和審查參與工作和進展 (Engagement efforts and progress are tracked and reviewed on an ongoing basis by the engagement team)
我們的參與政策，建議持續進行參與 (Continued engagement efforts are recommended per our engagement policy)
與公司管理層的任何會議記錄或所有書面溝通摘要都記錄並保存在中央內部數據庫中 (All written communications and summaries of any meetings with company management are documented and maintained in the centralized internal database)
參與團隊每季度向投資組合經理提供更新，並根據需要與他們會面 (The engagement team provides quarterly updates to portfolio managers and meets with them as needed)
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:
所有投資者（從散戶到機構資產所有者）都可以獲得我們關於投票的信息，他們無需提出要求，即可在我們的網站或其他線上電子位置紀錄查閱。 (Our disclosure on voting is available to ALL investors, from retail to institutional asset owners, without them having to make a request, i.e., the disclosure is on our website or another electronically accessible venue)
我們的投票僅對機構投資資產所有者，包括家族辦公室開放。他們無需提出要求，即他們可以通過電子方式訪問披露 (Our disclosure on voting is available ONLY to institutional asset owners, including family offices, without them having to make a request, i.e., the disclosure is electronically accessible to them )
我們僅在投資者要求披露時才披露我們的投票和理由 (We disclose our votes and rationale ONLY if an investor asks for disclosure)
在我們的披露中，我們以簡單易懂的語言解釋每一次投票背後的理由 (In our disclosures, we explain in plain, clear, unambiguous language the rationale behind every vote)
在我們的披露中，我們解釋了每一次投票背後的理由，但我們不會嘗試用直白，明確的語言來表達。 (In our disclosures, we explain the rationale behind every vote, BUT we do not make an effort to present it in plain language, clear, unambiguous language)
我們目前沒有披露我們的投票和理由，但我們有在未來12個月內這樣做的具體計劃 (We do not currently disclose our votes and rationale, but we have concrete plans to do so within the next 12 months)
我們沒有披露，也沒有計劃披露我們的投票 (We do not disclose and have no plans to disclose our voting)
我們沒有進行投票 (We do not vote)
我們不能/不願意透露我們的投票實踐 (We cannot/prefer not to divulge our voting practices)
如有附加說明，限250字以內
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.
平均每年一次 (Once a year on average)
平均每年兩次 (Twice a year on average)
平均每季一次 (Once a quarter on average)
平均每兩個月一次 (Once every two months on average)
平均每月一次 (Once a month on average)
平均每月一次以上 (More frequently than once a month on average)
我們目前沒有參與 (We currently have no engagement)
如有附加說明，限250字以內
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?
是的，我們向內部研究團隊的主要持分者（包括客戶）報告特定或一般參與的ESG成果 (Yes, we report on (ESG) outcomes of specific or general engagements to internal research teams' key stakeholders, including clients)
是的，我們在關於盡職管理的專門報告中披露(電子方式或印刷品) (Yes, we disclose in a separate report devoted to stewardship (electronic or printed))
是的，我們將披露作為定期報告的一部分，如資料摘要和年度報告等 (Yes, we disclose as part of scheduled reporting, such as factsheets and annual reports, etc)
是的，我們在網站上向投資人披露了這些資訊 (Yes, we disclose on our website, which is accessible to investors)
是的，我們會披露，但只有在投資人要求時才會披露 (Yes, we disclose but only when investors request for it)
不，我們目前沒有披露，但我們在未來十二個月內有具體[iii]的計劃 (No, we do not currently disclose, but we have concrete[iii] plans within the next 12 months)
沒有，我們目前沒有披露，也沒有具體[iii]的計劃披露 (No, we do not currently disclose and have no concrete[iii] plans to disclose)
如有附加說明，限250字以內
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.
基於您參與盡職調查活動後，發生了的持股比重的變化 (An change in security weight resulting from your engagement activities)
您的盡職治理核心/框架/理念/方法在過去幾年中是如何發展的，這些變化是如何影響投資者和貴公司的操作？ (How your stewardship code/framework/philosophy/methods/approach has, or has, evolved over the years. How do these changes affect investors and the community your firm operates in? )
您如何調整貴公司在亞洲的盡職治理實踐和方法，調整背後的基本原理和結果 (How you've adapted your firm's stewardship practices/approaches for Asia, the rationale behind the adaptation/s and the outcome/s)
請以500字內簡要描述主要挑戰、採取的操作、結果和吸取的經驗：
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.
請提供以下附件：
- 最新的factsheets
- 基金公開說明書
- 研究資料或其他相關資料
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