Sustainability as Management Company

Company-wide exclusions at Bantleon Invest AG
(formerly Warburg Invest AG)

For mandates actively and directly managed by Bantleon Invest AG, we have established guidelines for dealing with products and business practices prohibited or internationally outlawed under international law.

More information:

• Information on issuer exclusions 
   

Integration of Principle Adverse Impacts at Bantleon Invest AG
(formerly Warburg Invest AG)

In accordance with Article 4 Regulation (EU) 2019/2088 of 27 November 2019 on sustainability-related disclosures in the financial services sector (Sustainable Finance Disclosure Regulation), we have developed a strategy to ensure the consideration of the main adverse impacts of investment decisions on sustainability factors.

To identify the most important adverse sustainability impacts and indicators, we use the database of a renowned provider of sustainability information. We use this information to define a negative list in the future, which will no longer allow issuers that have too negative value characteristics for too many sustainability indicators.

More information:

• PAI Statement of Bantleon Invest AG
• Methodology document of Bantleon Invest AG
   

Integration of Principle Adverse Impacts at Bantleon GmbH

In accordance with Article 4 Regulation (EU) 2019/2088 of 27 November 2019 on sustainability-related disclosures in the financial services sector (Sustainable Finance Disclosure Regulation), we have developed a strategy to ensure the consideration of the main adverse impacts of investment decisions on sustainability factors.

To identify the most important adverse sustainability impacts and indicators, we use the database of a renowned provider of sustainability information. We use this information to define a negative list in the future, which will no longer allow issuers that have too negative value characteristics for too many sustainability indicators.

More information:

• PAI Statement 
   

Monitoring sustainability risks and guidelines 

In the understanding of the company and in the context of the guidelines for dealing with sustainability risks of the Federal Financial Supervisory Authority (BaFin), sustainability risks represent events from the areas of environment, social affairs or corporate governance, whose occurrence can actually or potentially have a negative impact on the assets, financial and earnings situation as well as the reputation of the company.  Sustainability risk is generally not considered as a separate type of risk, but rather presents itself as a specific aspect of known types of risk, such as market risk, counterparty risk and operational risk, and is considered in our structured risk management process.

More information:

• Publication of Bantleon Invest AG
   

Transparency requirements under the Sustainable Finance Disclosure Regulation (SFDR)

We support both our investors and partners in the area of initiator business in meeting regulatory requirements, for example in accordance with Regulation (EU) 2019/2088 of 27 November 2019 on sustainability-related disclosures in the financial services sector (Sustainable Finance Disclosure Regulation/SFDR). The spectrum ranges from the coordination of the content of suitable mandate characteristics to the preparation of corresponding investment guidelines and fund documents to fund classification in accordance with the SFDR to the preparation of pre-contractual and periodic mandatory disclosures. Services such as the preparation and distribution of sales-supporting templates (e.g. European ESG Template (EET)) or other reporting services are included in our range of services.

For further information on the extensive range of options and services offered by Bantleon Invest AG, please do not hesitate to contact us.

Legally compliant documentation with strong partners

We support our investors and partners in the area of initiator business with legally compliant documentation of the implementation of regulatory requirements.

Our services range from regulatory publications and sales-promoting reports and templates to ESG/SDG/CO2-focused evaluations and regulatory-compliant pre-contractual information and periodic reporting.

For further information on the extensive range of options and services offered by Bantleon Invest AG, please do not hesitate to contact us.

Sustainability reporting as additional service

We offer our investors ESG reporting based on ESG research data from a leading international data provider as a further component of reporting. This transparently presents the characteristics and development of the respective portfolios or Master Management Company mandates in relation to the key social, environmental and governance aspects.

This enables us to provide a requirements-oriented overview of the fund-specific characteristics and development in relation to significant ESG aspects. With the help of the guaranteed transparency regarding ESG quality, our investors can actively influence the sustainability quality of the investment themselves and consistently implement their own sustainability strategy.

For further information on the range of services offered by Bantleon Invest AG in the field of sustainability-related reporting, please do not hesitate to contact us.

Engagement and voting rights

For us, responsible investing does not end with the consideration of ESG criteria in our investment processes or the provision of transparent and meaningful ESG reporting. We also integrate environmental, social and ethical aspects in our engagement activities and thus also fulfil our obligations as a signatory of the UN PRI (United Nations Principles for Responsible Investment). Engagement in this context means, on the one hand, active, constructive and targeted dialogue with listed companies together with other investors (norm-based engagement as well as issue-based engagement for significant ESG risks) and, on the other hand, the active exercise of voting rights, taking ESG criteria into account (proxy voting).

More information:

• ISS ESG Norm-Based-Engagement-Report
• Voting report 2021
• Voting and participation policy of Bantleon Invest AG

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