Supplementary Fact Find

Supplementary fact find

Helping advisers to match clients’personal aims and opinions to SRI fund options

This form mirrors the filter options on . It is to be used to record clients’ intereststo help find relevant sustainable, responsible and ethical investment options.

Personal details:

Adviser name:

Client name:

Email address:

Phone number:

Date:

The following options cover the main sustainable, responsible and ethical investment policy areas, strategies and differentiators found across the UK retail (SRI) fund market. Brief explanations of each are shown on Fund EcoMarket.

Fund specific information should be confirmed with fund managers - the informationon Fund EcoMarket is supplied by fund managers and are kept as up to date as possible, however strategies can change and it is the responsibility of financial advisers to confirm details and ensure advice is appropriate.

SRI Policies:
(policies set out where a fund can and cannot invest) / Y/N / Notes (egselect areas of interest. Indicate if a high or low priority. Leave blank if unknown.)
Alcohol production excluded
Animal testing excluded
Animal welfare policy
Armaments manufacture avoided
Climate change / GHG policy
Coal, oil & / or gas majors excluded
Environmental policy
Ethical policies
Fracking & tar sands excluded
Gambling avoidance policy
Governance policy
Health & wellbeing policies
Human Rights policy
Invests in clean /renewable energy
Limits exposure to carbon intensive industries
Measures positive impacts
Nuclear policy
Pornography avoidance policy
Social policy
Sustainability policy
Tobacco production avoided
SRI features: (Optional)
(features help indicatehow fund ‘ethical’ policies are applied to investment decision, plus additional points of interest.) / Y/N / Notes
Aims to generate positive social or environmental impacts/ outcomes
Available via an ISA
Balances ‘pros and cons’ / best in sector
Clean energy theme
Eurosif transparency signatory
Faith friendly
Favours cleaner, greener companies
Favours companies with strong social policies
Limited / few ethical screens
Negative selection bias
Norms focus
Over 50% large cap
Over 50% small/mid cap
Positive selection bias
RSMR Rated
Sustainability theme
Single resource theme
‘Strictly screened’ ethical fund
Corporate Activity: (Optional)
About the fund management companystewardship/responsible ownership activity that appliesto all or some assets. / Y/N / Notes
Boutique/specialist fund management company
ESG/SRI engagement
In house responsible ownership / voting expertise
Integrates ESG factors into all/most fund research
Publish full voting record
Publish Responsible Ownership /Stewardship report
Regularly lead collaborative ESG initiatives
Responsible ownership policy for non SRI funds
Responsible Ownership / ESG a key differentiator
Review(ing) carbon / fossil fuel exposure for all funds
UNPRI signatory
Vote all shares at AGMs/EGMs
UK Stewardship Code signatory

1 Fund EcoMarket is a free to use support service from SRI Services. We are not regulated or authorise to offer advice. This is for information only. See for further information. (January 2018)