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More than

396 extracts

from 38 regulatory texts

have been identified

Duty to provide information
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  • June 1, 2022
In the clients’ interests for more sustainability, it is recommended that financial service providers generally provide them with information about the available ESG-investment solutions. Where ESG-investment solutions are concerned, during the general risk disclosure process, clients are to be informed also about the ESG-risks and -characteristics associated with financial instruments, respectively financial services. This strives to enable clients to understand the relevant ESG characteristics and, on this basis, be able to tolerate the risks associated with the ESG-investment solutions. The financial service provider also makes available to clients with ESG-preferences general information in relation to the ESG-preferences themselves as well as in relation to the offered ESG-investment solutions. At the same time, it can also provide information about which ESG-approaches are followed. With reference to the specific ESG-investment solution chosen by clients, the financial service provider informs them how their ESG-preferences are taken into consideration in this investment solution. Misleading or false information relating to the ESG-characteristics of financial instruments and investment solutions is prohibited.
  • June 1, 2022
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Climate risk appetite, Management, Risk Quantification
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Banks
  • Issuing Entity: Swissbanking

Client segmentation
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  • June 1, 2022
Professional clients can waive the application of the obligations set out in art. 10 and 13-14 of these guidelines by financial service providers to them. These guidelines do not apply to institutional clients.
  • June 1, 2022
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Strategy (Business Model)
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Banks
  • Issuing Entity: Swissbanking

Guidelines for implementation
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  • June 1, 2022
These guidelines set minimum standards. Financial service providers are free to implement more comprehensive measures. If a financial service provider meets the relevant EU standards on ESG in the areas of investment advice and portfolio management, the requirements of these guidelines shall be deemed to have been met as well.
  • June 1, 2022
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Business Model Integration, Strategy (Business Model)
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Banks
  • Issuing Entity: Swissbanking

Greenwashing prevention
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  • June 16, 2020
The asset manager shall ensure that sufficient internal or external resources are committed to achieve the objectives stated in the investment policy and investment strategy in a meaningful way. An overstatement of measures (“greenwashing”) has to be avoided, while clients should be given a fair and realistic picture of the asset manager’s chosen approach towards ESG.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Governance, Role and Responsabilities
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Climate risk integration and active ownership
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  • June 16, 2020
7. Climate risks: It is essential to assess climate risks along the decision-making process (e.g. investment analysis, investment decisions) and to address them through stewardship (active ownership). Each asset manager is responsible to implement such processes.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Risk Quantification, Strategy (Business Model)
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Monitoring of international developments
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  • June 16, 2020
8. International Developments: There should be an ongoing commitment to observing international developments on sustainability and aligning business activities with them.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Economic environment analysis, Strategy (Business Model)
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Integration of ESG factors into investment policy
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  • June 16, 2020
Integrating ESG topics into the investment policy demonstrates an asset manager’s recognition of the materiality of ESG factors and the commitment to integrate such factors into the investment process in order to come to informed investment decisions. These factors play a central role when it comes to putting a sustainable investment policy into practice. As part of the investment process, it should be ensured that material ESG risks and opportunities form part of the investment analysis and hence could influence the investment decision. This can be done in many different ways as different ESG factors may be relevant, depending on the context.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Formal Policies and Procedures, Governance
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Data quality
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  • June 16, 2020
6. Data Quality: In implementing sustainability criteria, it is crucial to obtain comprehensive data from sources considered reliable and to encourage the continual improvement of data quality.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Data and Taxonomy, External Data
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Data integration
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  • June 16, 2020
The sourcing of reliable and high-quality data is crucial for the successful implementation of ESG factors into an investment process.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Data and Taxonomy, Internal Data
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Integration of ESG factors into investment policy
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  • June 16, 2020
Generally, the investment policy contains an overall statement describing the approach of an asset manager to achieve its identified mission. It describes the investment strategy, defines the investment objectives and informs about the investment process, as well as applied standards for performance measurement. The investment policy should also cover the approach to sustainable investments or the way ESG factors are integrated into the investment activities.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Formal Policies and Procedures, Governance
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Integration of ESG factors into risk assessment
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  • June 16, 2020
Risk assessment is not limited to traditional risk categories but also covers emerging risks resulting from ESG factors. This means, for example, that factors such as climate change should be integrated into the investment strategy if they could result in material financial risks or are expected to have an impact on performance. This helps the asset manager to avoid risks and identify opportunities linked to sustainability topics that materialise in the medium to long term.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Climate Risk, Governance
  • Text Nature: Guidelines
  • General Topic: Climate risk
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Transparency on sustainability criteria
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  • June 16, 2020
5. Transparency: In implementing sustainability criteria, transparency is key, and they should be reported in an explainable, standardised and measurable way.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Governance, Regulatory reporting
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Comprehensive integration of sustainability
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  • June 16, 2020
3. Comprehensiveness: The Swiss asset management industry is committed to addressing the topic of sustainability in a comprehensive way in its asset management services. In doing so, it aims to integrate sustainability aspects in all elements of the investment process. Furthermore, and as a general rule, the internal sustainability policies should be binding and the relevant processes measurable and transparent.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Formal Policies and Procedures, Governance
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Corporate sustainability
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  • June 16, 2020
2. Corporate Sustainability: Assets managers should consider social, economic and environmental impacts in all aspects of their business and anchor their values in a corporate sustainability policy.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Formal Policies and Procedures, Governance
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

Fiduciary duty
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  • June 16, 2020
1. Fiduciary Duty: Consistent with the fiduciary duty to clients, superior long-term risk-adjusted returns can be generated by considering sustainability criteria. Sustainability should therefore be at the heart of the investment philosophy.
  • June 16, 2020
  • Language: English
  • Geographic Area: Europe, Switzerland
  • Theme: Risk Quantification, Strategy (Business Model)
  • Text Nature: Guidelines
  • General Topic: Green Products
  • Application Scope: Asset Managers
  • Issuing Entity: SFAMA

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