ESG risk management Indicator Type of indicator Dependent on Gateway to Disclosure Subsection PRI Principle LE 8 CORE OO 6.1 LE N/A PUBLIC ESG risk management 1 What compliance processes do you have in place to ensure that your listed equity assets subject to negative exclusionary screens meet the screening criteria? ☐ (A) We have an independent committee that oversees the screening implementation process, but only for our ESG/sustainability labelled funds that are subject to negative exclusionary screening ☐ (B) We have an independent committee that oversees the screening implementation process for all of our listed equity assets that are subject to negative exclusionary screening ☐ (C) We have an independent committee that verifies that we have correctly implemented pre-trade checks in our internal systems to ensure no execution is possible without their pre-clearance ☑ (D) Other, please specify: our compliance function performs the required checks and balances ☐ (E) We do not have compliance processes in place to ensure that we meet our stated negative exclusionary screens Post-investment phase Indicator Type of indicator Dependent on Gateway to Disclosure Subsection PRI Principle LE 9 CORE OO 10 N/A PUBLIC ESG risk management 1 Do your regular reviews incorporate ESG risks? (2) Active – quantitative (3) Active – fundamental (A) Our regular reviews include quantitative information on ☑ ☑ material ESG risks specific to individual listed equities (B) Our regular reviews include aggregated quantitative ☑ ☑ information on material ESG risks at a fund level (C) Our regular reviews only highlight fund holdings where ☐ ☐ ESG ratings have changed 109