ETF – 最佳基金公司獎 – 固定收益

最佳基金公司獎 - 固定收益ETF

"*" indicates required fields

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固定收益ETF問卷 Also apply this submission for other Fixed Income ETF 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（包括所有級別）*

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

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 4：參與
Pillar 4: Engagement
1. 參與承諾：已代表投資者採取參與政策[v] ，以減輕風險及提升報酬。這些活動包括：
Engagement Commitment: Engagement policies [v] have been undertaken on behalf of investors to mitigate risks and enhance returns. These activities include:
我們相信債券持有人參與監管是有效的，訂立了參與策略並將其嵌入在投資流程中 (We believe in effective bondholder engagement, and we have developed an engagement strategy and have embedded Engagement in the investment process)
我們擁有專門的參與團隊，或整合 ESG 專家和固定收益專家一起合作 (Having a dedicated engagement team or integrated with ESG specialists and fixed income specialists working alongside)
根據持有股份的規模和時間、信用度、透明度、ESG風險和機會的重要性，以及主題和問題等我們確定優先參與的盡職監管活動 (Prioritize engagement activity based on size and duration of holdings, credit quality, degree of transparency, the materiality of ESG risks and opportunities, and priority themes and issues, among other things)
無論債務是公開發行或私募，在整個發行週期內利用債券持有人的影響力參與發行商活動，以影響發行商應對 ESG 風險或創造價值機會 (Using the bondholder's influence to engage with issuers throughout the issuance lifecycle, whether the debt is publicly issued or privately placed, to influence how an issuer addresses specific ESG risks or value creation opportunities)
我們會與其他債券持有人協作活動，例如向公司簽署聯合信函、向即將到來的股東決議要求支援、加入投資者與公司合作的機會、接觸監管機構、政策制訂者、信用評級機構等。 (We collaborate with other bondholders on collaborative initiatives such as signing joint letters to companies, requesting support on upcoming shareholder resolutions, opportunities to join investor-company engagements, engaging regulators, policymakers, credit rating agencies, etc.)
我們是被動管理者及債券持有人，我們在資本結構狀況中權利有限，且對公司沒有影響力和接觸的機會 (We are passive managers and as bondholders, we have limited rights about our position in the capital structure, and we do not have influence over and access to companies)
我們沒有針對此策略的參與政策，且在未來 12 個月內沒有計畫 (We don't have an engagement policy for this strategy, and we have no such plans within the next 12 months)
雖然我們是被動管理者，但我們了解債券持有人在債券持有人參與方面的權利和義務，且正在制訂未來 12 個月內實施的政策 (Although we are passive managers, we are aware of our bondholders' rights and duties on bondholder engagement, and we are in the process of setting up a policy for implementation within the next 12 months)
2. 參與活動[v]：我們的參與活動優先順序基於以下列一或多項標準：
Engagement Activity[v]: Our engagement activity priorities are based on one or more of the following criteria:
我們盡量與優先關注的公司進行對話，以管理更多中／長期的問題，基於他們對潛在重大 ESG 問題和大趨勢的分析 (We seek dialogue with priority companies to manage more medium/long-term issues based on their analysis of potentially material ESG issues and megatrends)
我們會主動與公司對話，以應對正在對造成財務及／或信譽造成風險的信用降級、爭議或醜聞 (We initiate dialogue with companies in reaction to a recent downgrade, controversy, or scandal which is presenting a financial and/or reputational risk)
我們優先處理最重大持股，因為它們對投資組合績效造成最大的潛在風險 (We prioritize the most significant holdings as they pose the greatest potential risk to portfolio performance)
我們優先參與監管資產負債靈活度較低的發債人（例如高收益發債人），因為他們通常不太能承受因重大 ESG 風險而導致業務意外惡化的情況 (We prioritize issuers with less balance sheet flexibility (such as high-yield issuers) as they are typically less able to absorb an unexpected deterioration in their businesses due to material ESG risks)
我們會著重於指定時間範圍內最容易受到選定 ESG 因素影響的債務工具類型；例如，減少排放監管目標對於三年期和十年期的債券的影響是不一樣的 (We focus on debt instrument types that are most exposed to selected ESG factors over a given timeframe; for instance, emissions-reducing regulatory targets will likely not impact three- and ten-year bonds in the same way)
我們會著重於 ESG 透明度質量，在缺乏全方位且可比較的披露方法的情況下，提升發債人對於如何管理或規劃管理 ESG 風險和價值創造機會的理解 (We focus on the quality of transparency of ESG, improving understanding of how an issuer is managing or plans to manage, ESG risks and value creation opportunities in the absence of comprehensive and comparable issuer disclosure)
我們會參與對特定市場及／或部門最重要的 ESG 問題，並且我們的討論是關於那些可能影響公司財務狀況或營運績效的永續發展趨勢及其不確定性的問題 (We engage over ESG issues that are most material for the specific market and/or sector, and our engagement discussions are on sustainability-related trends and uncertainties that are likely to affect the financial condition or operating performance of a company)
我們會著重於那些對於發債人和行業來說代表著最高風險價值或潛在影響的主題，例如低碳過渡、水資源風險、勞工條例、網路安全、反賄賂和腐敗，以及企業稅務透明度 (We focus on those topics representing the highest value at risk or potential impact across issuers and sectors, such as low-carbon transition, water risks, labor practices, cybersecurity, anti-bribery and corruption, and corporate tax transparency)
我們會分享最佳實務並協助發債人識別他們可以參考的最佳實務，並與落後的同業進行交流 (We share best practices and help issuers identify best practices they can refer to and communicate with peer companies that are lagging behind)
我們是被動管理者，我們認為沒有需要與發行人接觸 (As passive managers, we do not think it is necessary to engage with issuers)
我們並未接觸上述任何發債人，但在未來 12 個月內會提出至少開始監察上述部分項目的具體[iii] 計畫 (We do not engage with our issuers on any of the above, BUT we have concrete[iii] plans to begin monitoring at least some of the above within the next 12 months)
沒有進行上述任何操作，且沒有具體[iii] 計畫。 (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. 參與團隊：設立了專門的參與團隊[iv] 管理特定公司和參與問題，其中包括下方的計畫：
Engagement Team: A dedicated engagement 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，包括參與的目標結果，會記錄在參與管理系統 (All written communications and meeting records, including targeted outcomes of the Engagement, are logged in the engagement management system)
參與為改善公司的環境和社會資源管理，減少與環境和社會相關的風險 (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、書面溝通及電子郵件 (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，或是透過基金參與服務提供商與其他投資者合作 (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 engagement service provider)
基金的參與團隊每季都會根據目標結果審核每項參與工作的進展，並視乎需要確定後續步驟 (The Fund's Engagement Team reviews progress toward each engagement effort quarterly against the targeted outcomes and determines next steps as needed)
尋求會議反饋，並將其用於改善後續參與 (Seek feedback on the quality of the meeting and use it to improve subsequent engagements.)
以透明的評估方法做為指導，與目標公司對話，並根據既定目標衡量取得的進展 (Use transparent evaluation methodologies to help guide dialogue with the target companies and measure progress made against set objectives)
與所有相關投資團隊成員接觸後，確保高效且有效地分享從中獲得的資訊 (Ensure the efficient and effective sharing of information gained from engagements with all relevant investment team members)
為參與結果設定目標，並在有時限的目標方面與公司取得一致意見 (Set targets for the outcomes of the Engagement and agree on time-bound goals with companies )
繼續與公司溝通，提供關於他們進展相對於投資者期望的反饋意見 (Continue communication with companies to provide feedback on their progress against investor expectations)
我們是被動管理者，我們認為沒有需要成立參與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)
我們目前沒有一個參與團隊，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 engagement 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. 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)
5. 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)
6. 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
附件

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最佳基金公司獎 - 固定收益ETF

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

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

支柱能力3：營運管理
Pillar 3: Operations

支柱能力 4：參與
Pillar 4: Engagement

Company Address

Email Address

Telephone Number

最佳基金公司獎 - 固定收益ETF

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

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

支柱能力3：營運管理Pillar 3: Operations

支柱能力 4：參與Pillar 4: Engagement

Company Address

Email Address

Telephone Number

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

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

支柱能力3：營運管理
Pillar 3: Operations

支柱能力 4：參與
Pillar 4: Engagement