1. Exclusions



Please enter an ISIN of your choice which represents a share class of the fund that shall be assessed based on the following questionnaire.


Your Name


1. Does the fund have an exclusion policy in place?

1.2 Which of the following practices are excluded in the fund policy? Please specify revenue threshold in percent.



1.3 CS has defined specific exclusions minimum standards as part of its sustainability framework. Does the fund’s exclusion policy comply with CS’ policy° of norms-based and values-based exclusions? Find the standards below:

Norms-based exclusions: 

  • Controversial Weapons involvement (0%)
  • Biological - Chemical Weapons involvement (0%)
  • Cluster Munitions involvement (0%)
  • Landmines involvement (0%)
  • Nuclear Weapons involvement (0%)

Values-based exclusions:

  • Tobacco Producer max rev (5%)
  • Tobacco Retailers, suppliers & distributer max rev (20%)
  • Gambling max rev (5%)
  • Adult Entertainment max rev (5%) 
  • Nuclear Power°° direct max rev (5%)
  • Thermal Coal – Generation / Mining max rev (20%)
  • Conventional Weapons and Firearms max rev (5%)
  • Conventional Weapons and Firearms Support Systems & Services (20%)

1.4 Do you apply Business Conduct Exclusions°°° in your investment process?


°Exclusion Standards defined by the new CS Sustainability Framework: see appendix for more information. 

°°Subject of change depending on the outcome of the EU taxonomy.

°°°The following criteria can be taken into account (derived by UN Global Compact):

  • Businesses should support and respect the protection of internationally proclaimed human rights
  • Make sure that they are not complicit in human right abuses
  • Business should uphold the freedom of association and the effective recognition of the right to collective bargaining
  • The elimination of all forms of force and compulsory labour
  • The effective abolition of child labour
    The elimination of discrimination in respect of employment and occupation
  • Businesses should support a precautionary approach to environmental challenges
  • Undertake initiatives to promote greater environmental responsibility
  • Encourage the development and diffusion of environmentally friendly technologies
  • Business should work against corruption in all its forms, including extortion and bribery
2. Esg Integration

2.1 Did your company sign the UN PRI?

Since when are you signatory? 


Please provide rating: 

2.2 Do you have a formal, written Sustainability or ESG Policy in place in your company?

2.3 Does the fund apply a best-in-class methodology (positive screening)?

2.4 Does the fund exclude certain sectors (e.g. energy) or companies with lower ESG ratings?

2.5 Are ESG factors integrated into every step of the investment process (from defining the universe to stock-picking)?

2.6 Does the fund rely on external data provider as source of ESG information?

2.7 Does your company have its own proprietary ESG scoring system? 

2.8 In the past 12 months – Did you sell or reduce a position in a security in this fund due to poor ESG performance? 

2.9 During the past 12 months – Did you buy or increase a position in the fund due to sound and convincing ESG performance? 

3. Thematic & impact aligned

3.1 Is the fund linked to a sustainable theme (for instance an SDG)?

3.2 Is the average exposure of the holdings in the portfolio to the sustainable theme at least 50%? 

3.3 What are the main three SDGs that you are addressing with the fund? Please select no more than 3 answers.


3.4 Does the fund measure and report on the impact or Sustainability KPI’s of its underlying portfolio? 

Fund Level - Impact

4.1 ENTERPRISE IMPACT: Is one of the following statements true?

  • Investments are made in companies/solutions with significant potential to solve social / environmental problems. 
  • Investments are made with the explicit strategy of materially improving companies’ impact outcomes.
  • The IMP five dimensions are incorporated into the investment process.

4.2 INTENTION AND STRATEGY: Is there an intention, strategy, capability and governance on the part of the investor to generate impact? 

4.3 IFC PRINCIPLES: Is the fund compliant with the IFC operating principles for impact management?

4.4a CAPITAL ADDITIONALITY: Is funding not easily accessible / substitutable or is the capital additional? 

4.4b ACTIVE OWNERSHIP: Is the investor’s impact strategy to improve sustainability / impact outcomes, and can that be evidenced?

4.5 MEASUREMENT AND REPORTING: Is the investor’s impact and contribution to investee impact measured and reported?

4.6 ENTERPRISE MISSION AND MEASUREMENT: Do the enterprises have a mission to generate impact and is that impact measured and reported?

5.1  Do you have an Active Ownership / Stewardship policy in place at company level? 

5.2 Does the fund make use of its voting rights based on an ESG policy? 

5.3 Does the fund publicly report on voting behaviour?  

5.4 Do you have a systematic engagement process for the fund?

5.5 Do you report on your engagement activities / outcomes? 

5.6 Is Engagement part of the strategy of the fund?
If yes, with how many companies in the fund do you engage in a year? 

With how many companies in the fund do you engage per year:


Direct Engagement  


Collaborative Engagement

5.7 Within the last 12 months – Did you engage with more than 50% of the companies in your portfolio? 

Otherwise specify percentage

5.8 What is the average amount / frequency of engagement with one company over its holding period? 

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