影響力投資大獎

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參賽編號*

Submission ID

區域*

Region

類別*

Category

其他參賽編號

Other Submission ID

複製參賽資料 Clone submission

同時將資料應用於其他影響力投資大獎問卷 Also apply this submission for other Thematic Impact entries.

公司名稱*

Name of firm

旗艦基金名稱*

The Flagship Fund's name

旗艦基金 ISIN 代碼*

The Fund's ISIN Code

資料截至季末日

Data as of the quarter-end

基金規模（包括所有類別）*

Total Fund Size (including all share classes)

該基金策略投資組合經理數量*

Total Number of Portfolio Manager(s)

該基金策略分析師數量*

Total Number of Analysts

該基金策略是否已獲歐盟永續財務揭露規範 (SFDR)符合批准*

Is this an SFDR-approved fund?

支柱能力2：投資組合管理
Pillar 2: Portfolio Management
請留意: 在回答此支柱能力的問題時，請提供與本基金/策略直接相關的答案。它們不適用於公司所有基金/策略的答案。 Note: When answering the questions in this pillar, please provide responses directly relevant to this specific fund/strategy. They should NOT be general answers that apply generally to all your firm's funds/strategies. [i]持有證券數量公式：假設 M1， M2， M3， … M36 = 月末（1，2， 3....36）的持股數量平均持股數量 = (M1+M2+M3+ … M36)/36 [i] Formula for no. of holdings: Where M1, M2, M3, … M36 = no. of holdings at the end of month 1,2,3 … 36 Average no. of holdings = (M1+M2+M3+ … M36)/36 [ii] 重大影響是指有可能影響公司財務狀況或經營業績的事件，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/or 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] 適應 CFA 協會投資產品 ESG 披露準則意見徵詢稿，2021 年 5 月 [iii] Adaptation of the Exposure Draft CFA Institute ESG Disclosure Standards For Investment Products, May 2021
1. 投資組合層面的 ESG 特徵[iii]：我們已決定將 ESG 標準作為我們的投資組合特徵，其中包括：
Portfolio level ESG characteristics [iii]: We have decided ESG criteria to be used as our portfolio characteristics that include:
範疇1 和範疇 2 溫室氣體排放 (Scope 1 and Scope 2 greenhouse gas emissions)
投資組合中投資於綠色債券的資產百分比 (asset-weighted percentage of the portfolio invested in green bonds)
投資組合中投資於被法規或第三方分類標準視為可持續的經濟活動的資產百分比 (asset-weighted percentage of the portfolio invested in economic activities deemed to be sustainable by a regulatory or third-party classification standard )
董事會性別多元化 (board gender diversity)
按不可再生能源類型分類的能源消耗 (breakdown of energy consumption by type of non-renewable sources of energy)
對涉及違反聯合國全球契約原則或經合組織跨國企業準則的被投資公司的投資份額 (share of investments in investee companies that have been involved in violations of the UN Global Compact principles or OECD Guidelines for Multinational Enterprises)
持有對ESG有不利影響的特定行業、板塊和地區 (exposure to specific industries, sectors, and geographies with adverse impacts on ESG issues)
持有傑出的有助於向低碳經濟轉型的特定行業、板塊和公司 (exposure to specific industries, sectors, and companies that aid transition to a low-carbon economy)
“綠色”投資與“棕色”投資的比率 (the ratio of "green" investments to "brown" investments)
我們沒有建立基於ESG信息或ESG問題的投資組合層面的準則 (We do not have an established portfolio-level criterion that is based on ESG information or ESG issues)
2. 基於 ESG 的證券選擇標準[iii]：我們採取措施將具有財務重要性的 ESG 信息與傳統財務信息一起納入投資產品的財務分析和估值：
ESG based Securities Selection criteria[iii]: We take steps to incorporate financially material ESG information alongside traditional financial information in financial analysis and valuation of the investment product's investments:
同業群體中的排名倒數 50% 被排除在我們的證券選擇範圍之外 (The bottom 50% of their industry-based peer group are excluded from our security selection universe)
對分數排在前50% 的股票進行進一步財務標準篩選，包括但不限於盈利增長預期和市盈率的門檻 (Equity securities that score in the top 50% are then screened for financial criteria, including but not limited to thresholds for earnings growth estimates and price-to-earnings ratios)
我們沒有建立基於ESG信息和ESG問題的證券選擇準則 (We do not have an established security selection criterion that is based on esg information or esg issues)
3. 持有證券數[i]：過去三年內基金平均持有多少證券？請應用備註的公式計算並選擇適用項。
The number of holdings [i]: What is the average number of securities in the fund over the last 3 years?

低於30 (Below 30)

30 - 44

45 - 59

60 - 74

75 - 89

90 - 104

105 - 119

120及以上 (120 and above)

基金成立少於3年 (Inception period less than 3 years)
4. 證券權重：決定每個證券比重的因素是什麼？請選擇所有適用項目。
Security weight: What determines the weight of each security? Please select all that apply:
證券層面的流動性 (Liquidity at the security level)
投資組合層面的流動性 (Liquidity at the portfolio level)
與投資組合中其他證券的相關性 (Correlation with other securities in the portfolio)
相對於投資組合中該證券經風險調整後的潛在回報 (Potential risk-adjusted returns relative to other securities in the portfolio)
產生超額報酬的潛力 (Potential to produce alpha)
被投資對象良好的ESG (Material[ii] ESG merits of the investee)
被投資對象對我們的基金/公司參與ESG問題作出的回應 (Investee's response to our fund's/firm's engagement on material[ii] ESG issues)
投資組合限制（明確限制或軟性指導）例如單一發現者、單一證券等。 (Portfolio limits (explicit limits or soft guidelines) such as single issuer, single security, etc.)
我們沒有預先的指導方案，投資組合經理依據他們自己的判斷 (We have no predetermined guidelines; the portfolio manager acts at their discretion)
如有附加說明，限250字以內
Additional Remarks, if any (maximum 250 words)
5a. 投資基礎：我們的投資決策主要基於以下幾點。請選擇所有適用項：
Investment Bases: Our investment decisions are substantively based on the following. Please select all that apply:
證券在二級市場的流動性 (Security's liquidity in the secondary market)
估值 (Valuation)
目標價格 (Target price)
該證券相對於組合的其它倉位的風險／報酬狀況 (Risk/return profile of a security relative to other positions in the portfolio)
被投資對象的現金流 (Investee's cash flow)
被投資對象及時償還債務的能力/信用品質 (Investee's ability to meet liabilities promptly/ credit quality)
被投資對象從行業結構變化中獲益的能力 (The ability of investee to benefit from structural changes in its industry)
被投資對象的主要管理層的歷史紀錄 (Investee's key management's track record)
我們投資論斷的有效性 (Validity of our investment thesis)
我們的分析師對被投資對象進行降級/升級 (Downgrade/upgrade of the investee by our analysts)
賣方分析師對被投資對象進行降級/升級 (Downgrade/upgrade of the investee by sell-side analysts)
ESG factors improving ESG因素改善 (Rumors 傳聞)
被投資對象對我們基金/公司ESG參與的回應 (Investee's response to our fund's/firm's ESG engagement )
市場時機 (Market timing)
由我們的量化、大數據模型或其他類似方法產生的信號 (Signals generated by our quantitative, big data models or other similar methods)
證券在特定的時間內的跌幅超過了我們的限制 (The security's drawdown exceeds our limits within a given time frame)
環境因素已經(或可能會)對被投資對象的收益、現金流、競爭力、業務彈性、聲譽和其他風險收益平衡產生重大[ii]影響 (Environmental factors have (or likely will have) a material* impact on the investee's earnings, cash flow, competitiveness, business resilience, reputation, and other risk-return balance)
社會因素已經(或可能會)對被投資對象的收益、現金流、競爭力、業務彈性、聲譽和其他風險收益平衡產生重大[ii]影響 (Social factors have (or likely will have) a material[ii] impact on the investee's earnings, cash flow, competitiveness, business resilience, reputation, and other risk-return balance. In the case of investing, the material impact is positive. )
公司治理因素已經(或可能會)對被投資對象的收益、現金流、競爭力、業務彈性、聲譽和其他風險收益平衡產生重大[ii]影響 (Governance factors have (or likely will have) a material[ii] impact on the investee's earnings, cash flow, competitiveness, business resilience, reputation, and other risk-return balance. In the case of investing, the material impact is positive. )
我們沒有投資/撤資基礎的系統或方法。投資組合經理根據自己的意願行事。 (We do not have a system or method of arriving at a basis for investment/divestment. The portfolio manager acts according to their wishes.)
如有附加說明，限250字以內
Additional Remarks, if any (maximum 250 words)
5b. 撤資基礎：我們撤資決策基於以下幾點。請選擇所有適用項：
Divestment Bases: Our divestment decisions are substantively based on the following. Please select all that apply:
證券在二級市場的流動性 (Security's liquidity in the secondary market)
估值 (Valuation)
目標價格 (Target price)
該證券相對於組合的其它倉位的風險／報酬狀況 (Risk/return profile of a security relative to other positions in the portfolio)
被投資對象的現金流 (Investee's cash flow)
被投資對象及時償還債務的能力/信用品質 (Investee's ability to meet liabilities promptly/ credit quality)
被投資對象從行業結構變化中獲益的能力 (The ability of investee to benefit from structural changes in its industry)
被投資對象的主要管理層的歷史紀錄 (Investee's key management's track record)
我們投資論斷的有效性 (Validity of our investment thesis)
我們的分析師對被投資對象進行降級/升級 (Downgrade/upgrade of the investee by our analysts)
賣方分析師對被投資對象進行降級/升級 (Downgrade/upgrade of the investee by sell-side analysts)
傳聞 (Rumors)
ESG因素改善 (ESG factors improving)
被投資對象對我們基金/公司ESG參與的回應 (Investee's response to our fund's/firm's ESG engagement )
市場時機 (Market timing)
由我們的量化、大數據模型或其他類似方法產生的信號 (Signals generated by our quantitative, big data models or other similar methods)
證券在特定的時間內的跌幅超過了我們的限制 (The security's drawdown exceeds our limits within a given time frame)
環境因素已經(或可能會)對被投資對象的收益、現金流、競爭力、業務彈性、聲譽和其他風險收益平衡產生重大[ii]影響 (Environmental factors have (or likely will have) a material* impact on the investee's earnings, cash flow, competitiveness, business resilience, reputation, and other risk-return balance)
社會因素已經(或可能會)對被投資對象的收益、現金流、競爭力、業務彈性、聲譽和其他風險收益平衡產生重大[ii]影響 (Social factors have (or likely will have) a material[ii] impact on the investee's earnings, cash flow, competitiveness, business resilience, reputation, and other risk-return balance. In the case of investing, the material impact is positive. )
公司治理因素已經(或可能會)對被投資對象的收益、現金流、競爭力、業務彈性、聲譽和其他風險收益平衡產生重大[ii]影響 (Governance factors have (or likely will have) a material[ii] impact on the investee's earnings, cash flow, competitiveness, business resilience, reputation, and other risk-return balance. In the case of investing, the material impact is positive. )
我們沒有投資/撤資基礎的特定系統或方法。投資組合經理根據自己的意願行事。 (We do not have a system or method of arriving at a basis for investment/divestment. The portfolio manager acts according to their wishes.)
如有附加說明，限250字以內
Additional Remarks, if any (maximum 250 words)
6. 投資組合經理的流動率：過去12個月內，投資組合經理的流動率是多少？請提供負責本策略的投資組合經理的流動率，包括提前退休的經理。
Portfolio managers' turnover: What is the portfolio managers' turnover rate over the last 12 months? Please provide a turnover rate for the PMs responsible for this strategy. Please include those who took early retirement.

<30%

<50%

大於51% 低於70% (>51% but less than 70%)

>71%
7. 分析師的流動率：過去12個月內，分析師的流動率是多少？請提供負責本策略的分析師流動率，包括提前退休的分析師。
Analysts' turnover: What is the analysts' turnover rate over the last 12 months? Please provide a turnover rate for the analysts responsible for this strategy. Please include those who took early retirement.

<10%

<30%

<50%

大於51% 低於70% (>51% but less than 70%)

>71%
8. 研究資源：對本基金/策略所涵蓋的證券，每一位分析師平均負責研究多少證券？
Research resources: How many securities does each analyst responsible for this fund cover on average?

低於50 (Fewer than 50)

50 - 69

70 - 89

90 - 109

110 - 129

130及以上 (130 or more)
9. 研究深度：您的研究決定是仰賴哪一種研究而做出的？請選擇所有適用項：
Research depth: What types of research do you rely on to make investment decisions? Select all that are applicable:
我們專有的財務模型 (Our proprietary financial models)
對被投資企業的實地考察：我們觀察運營員工的效率、生產力、態度和主動性。 (Site visits to investees' facilities: We observe operational employees' effectiveness, productivity, attitude, initiative)
對被投資企業的實地考察：我們觀察被投資對象的競爭力具有顯著影響的關鍵流程或項目生產。 (Site visits to investees: We observe the key processes or production of items that are salient to the investees' competitiveness)
在所有投資分析師的預定會議之外與被投資企業的管理層進行一對一的對話 (One-to-one conversations with investees' management outside of scheduled conferences for all investment analysts)
我們與知情的第三方核實被投資企業的宣稱，包括但不限於供應商、客戶、分銷商、競爭對手和行業專家 (We verify investees' claims with informed third parties, including but not limited to suppliers, customers, distributors, competitors, and industry specialists)
為所有投資分析師安排的季度電話會議或與被投資方管理層的會議 (Earnings conference calls or meetings with investees' management which are scheduled for all investment analysts )
專門從事特定行業、科技技術、地域、經濟、因素等獨立顧問 (Independent consultants specializing in specific sectors, technologies, geographies, economies, factors, etc.)
賣方經紀商的研究 (Sell-side brokers' research)
以上皆非 (None of the above)
如有附加說明，限250字以內
Additional Remarks, if any (maximum 250 words)

支柱能力3：風險管理與績效
Pillar 3: Performance & Risk Management
請留意: 在回答此支柱能力的問題時，請提供與本基金/策略直接相關的答案。它們不適用於公司所有基金/策略的答案。 Note: When answering the questions in this pillar, please respond directly relevant to this specific fund/strategy. They should NOT be general answers that generally apply to all your firm's funds/strategy. [i]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 [i] Definition of concrete: Explicitly and clearly defined framework, parameters, principles, methods/techniques, and objectives are available for imminent implementation [ii]投資上限示例：每個投資者僅限於在該基金總資產管理規模的10%以內或其他數值。 [ii] example of investment cap: Each investor is limited to 10% of the fund's total AUM or another quantum [iii]投資上限計算公式：[每個投資人當前投資+其未來預期投資）/基金在投資人新投資後基金的 AUM]*100%例如：目前 AUM 規模為 1 億美元；投資人 K 目前的投資額為 900 萬美元，希望進一步投資 100 萬美元；因此，K 的 1000 萬美元總投資額佔總投資後 AUM 的 9.9%。 [iii] Formula for investment cap: [(Each investor's current investment + his/her intended future investment) / fund's total AUM post new investment from the investor]*100% Example: Current fund AUM is $100 mn; investor K has a current investment of $9 mn and wishes to make a further investment of $1 mn; therefore, K's total $10 mn constitutes 9.9% of total post-investment AUM. [iv] formula for net returns above benchmark: (Gross performance, an average of all share classes of this fund, in USD) - (benchmark performance + annual management fee + performance fee + other fees/charges borne by investors from family offices, private banks, affluent banks, and retail banks) [iv]高於基準的淨回報公式：（總業績，本基金各類別的平均值，以美元計算）-（基準業績+年度管理費用+績效費+由投資人承擔的其他費用/收費（家族理财室、私人银行、富裕银行和零售银行的费用）） [v] 恢復的定義：完全賺回所造成的損失。例如，該基金在此期間的跌幅為-50%。要花多長時間才能全面恢復，實現 100%的增長？ [v] Definition of recovery: Fully regaining the loss made. For example, the fund's drawdown was -50% during the period. How long did it take to make gains of 100% to make a full recovery?
1. 每位投資者的投資上限[ii]：您是否有限制每位投資者在基金總資產管理規模(AUM)的百分比，以限制任何一位投資人的過度投資？
Investment cap per investor[ii]: Do you limit each investor's investment to a certain percentage of the fund's total AUM to restrict overexposure to any single investor?

是的，我們目前有每位投資者的可以投資該基金的最高限額 (Yes, we currently have a cap and the maximum[iii] each investor can invest into the fund:)

不，我們目前沒有上限，但有具體計劃[i]在未來12個月內設立上限 (No, we do NOT currently have a cap but have concrete[i] plans to institute one within the next 12 months)

不，我們目前沒有上限，也沒有明確的計劃 (No, we do not currently have a cap and have NO definite plans for one)
已選：是的，我們目前有每位投資者的可以投資該基金的最高限額
Selected: Yes, we currently have a cap and the maximum[iii] each investor can invest into the fund:

每位投資者最多可投資本基金資產管理規模的10% (Each investor is allowed to invest a maximum of up to 10% of the Fund's AUM )

每位投資者最多可投資本基金資產管理規模的11-15% (Each investor is allowed to invest a maximum of up to 11-15% of the Fund's AUM)

每位投資者最多可投資本基金資產管理規模的16-20% (Each investor is allowed to invest a maximum of up to 16-20% of the Fund's AUM)

每位投資者最多可投資本基金資產管理規模的21-30% (Each investor is allowed to invest a maximum of up to 21-30% of the Fund's AUM)

每位投資者最多可投資本基金資產管理規模的31-40% (Each investor is allowed to invest a maximum of up to 31-40% of the Fund's AUM)

每位投資者最多可投資本基金資產管理規模超過40% (Each investor may account for more than 40% of the Fund's AUM)
2. 該旗艦基金相對於可比的非ESG基準的凈回報率[iv]
The Flagship fund’s NET returns relative to a comparable, non-ESG benchmark [iv]

每年比基準高 0 - 1% (0 - 1% ABOVE benchmark per annum)

每年比基準高 1.1 - 2% (1.1 - 2% ABOVE benchmark per annum)

每年比基準高 2.1 - 3% (2.1 - 3% ABOVE benchmark per annum)

每年比基準高 3.1 - 4% (3.1 - 4% ABOVE benchmark per annum)

每年比基準高 4.1 - 5% (4.1 - 5% ABOVE benchmark per annum)

每年比基準高5%以上 (More than 5% ABOVE benchmark per annum)

每年比基準低 0.1 - 1% (0.1 - 1% BELOW benchmark per annum)

每年比基準低 1.1 - 2% (1.1 - 2% BELOW benchmark per annum)

每年比基準低 2.1 - 3% (2.1 – 3% BELOW benchmark per annum)

每年比基準低 3.1 - 4% (3.1 – 4% BELOW benchmark per annum)

每年比基準低 4.1 - 5% (4.1 – 5% BELOW benchmark per annum)

每年比基準低5%以上 (More than 5% BELOW benchmark per annum)
3. 投資組合流動性：在對公司進行影響投資時，我們考慮公司層面的中短期流動性。請選擇所有適用項
Portfolio liquidity: When investing in companies for impact, we consider short-to-medium liquidity at the company level. Please select all that apply.
我們的目標是上市股權公司和大型私營公司，這些公司有規模影響 (We target businesses that listed equity firms and large privately-owned companies that can have an impact at scale)
我們的目標是中低流動性，成熟有影響的公司同時具創新性的公司，並且對社會和環境產生更大的顛覆性影響 (We target low, and mid-liquidity and maturity impact companies as well as more innovative companies and can have more disruptive impacts on society and the environment)
我們不關注流動性差或處於早期階段的影響力投資公司和企業；相反，我們探索機會來識別和衡量在影響力投資領域運營的大型、成熟的和流動性高的公司 (We do not focus on illiquid or early-stage impact investing companies and businesses; instead, we explore opportunities to identify and measure large, mature, and liquid companies operating in the impact investing field)
我們關注敢於理論變革、擁有超前概念和目標驅動型公司，並將流動性視為次要 (We focus on the theory of change, the concept of additionality, and purpose-driven companies and consider liquidity secondary)
其他回覆（請具體說明） (Other responses (please specify))
已選：其他回覆 - 請具體說明
Selected: Other responses - please specify.
4. 回撤恢復：自基金成立以來，從最大回撤恢復需要多長時間[v] 請選擇一個符合的選項
Drawdown recovery: How long did it take for the fund to recover[v] from its maximum drawdown since inception? Please select only one answer.

6週或更少 (6 weeks or fewer)

7-12週 (7-12 weeks)

13-18週 (13-18 weeks)

19-24 週 (19-24 weeks)

25-30週 (25-30 weeks)

31-37週 (31-37 weeks)

38-43週 (38-43 weeks)

44-49週 (44-49 weeks)

50週或以上 (50 weeks or more)

基金的跌幅發生在提交文件時不到 24 週前，尚未完全恢復 (The fund's drawdown occurred less than 24 weeks ago, at the time of this submission, and has not yet fully recovered)

我們不想透露有關本基金在這段時間內從最急劇跌幅中恢復的資訊 (We prefer not to divulge information about the fund's recovery from its steepest drawdown during this period)

支柱能力4：盡職治理
Pillar 4: Stewardship
請留意: 在回答此支柱能力的問題時，請提供與本基金/策略直接相關的答案。它們不適用於公司所有基金/策略的答案。 Note: When answering the questions in this pillar, please respond directly relevant to this specific fund/strategy. They should NOT be general answers that generally apply to all your firm's funds/strategy. [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)
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)
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，發生了的投資/撤資/持股比重的變化 (An investment/divestment/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
- SITCA或其當地主管機關核准之基本資料
- 基金公開說明書
- 簡式公開說明書
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影響力投資大獎

支柱能力1：投資方法
Pillar 1: Investment Approach

支柱能力2：投資組合管理
Pillar 2: Portfolio Management

支柱能力3：風險管理與績效
Pillar 3: Performance & Risk Management

支柱能力4：盡職治理
Pillar 4: Stewardship

Company Address

Email Address

Telephone Number

影響力投資大獎

支柱能力1：投資方法Pillar 1: Investment Approach

支柱能力2：投資組合管理Pillar 2: Portfolio Management

支柱能力3：風險管理與績效Pillar 3: Performance & Risk Management

支柱能力4：盡職治理Pillar 4: Stewardship

Company Address

Email Address

Telephone Number

支柱能力1：投資方法
Pillar 1: Investment Approach

支柱能力2：投資組合管理
Pillar 2: Portfolio Management

支柱能力3：風險管理與績效
Pillar 3: Performance & Risk Management

支柱能力4：盡職治理
Pillar 4: Stewardship