Awards Entry Form:

Best Ethical KiwiSaver Fund Provider

Entries have now closed

This award will go to the KiwiSaver provider that can best demonstrate effective responsible or ethical investment outcomes. Entrants will demonstrate leading practice in avoiding harm from their investments, generating or supporting positive impact, providing strong corporate governance and stewardship, and operating with ethical conduct.

The award is open to registered New Zealand KiwiSaver providers.

In situations where different policies apply across the range of funds, those differences should be clearly stated.

An administration fee of $150 + GST is charged for each award entry. An invoice will be sent to the contact details submitted with the award entry.

Please contact awards@mindfulmoney.nz if you have any queries about the awards process.

This is an online form, and you cannot save it, so you may want to answer each section offline and copy it across.

Download questions

Fund Provider Name or Business Name

Website address

Main contact for the award

Position in organisation

Email address

Phone number

Award entry submission

Please keep your total number of words to 2500. The judges may ignore any wording over this limit.

Avoiding harm

Describe how your KiwiSaver funds avoid investments in companies that do harm to the environment and/or society for issues important to the New Zealand public, including: 1. Clear definitions of exclusion criteria, materiality and thresholds for divestment 2. How ethical investment policies are applied to external funds with pooled mandates 3. Any comments on the companies of concern that are listed under your portfolios on Mindful Money’s Fund Checker. Judges will be provided with the latest portfolio analysis from the Mindful Money website (30 September 2023 data).

Investing for Positive Impact

Describe the extent to which your KiwiSaver fund portfolios include investments in equity or bonds of companies that create positive social and/or environmental benefits, including a link to any impact or sustainability report: - Strategy: A short statement describing your strategy on investments in positive impact, including target returns and criteria for investment. - Scope of Impact: % of portfolio in positive impact investments, in sectors (eg. renewable energy) or SDGs or other categories - Scale of positive impact: A list of the top 3 investments in positive impact, with an explanation about the company and the scale of its impact in relation to the company (this can be in the form of a link to other documents such as an impact or sustainability report). - Extent of Contribution: For those 3 companies, whether they are listed or unlisted, and the contribution from your investment (eg. assistance with capital raising, substantial management support, or finance only). - Plans: Your plans for further positive impact investing (eg. target level as % portfolio).

Stewardship and Contribution to the Company

In some cases, the policies and practices of stewardship will be the same for the full range of funds for each investment provider. However, where these differ across funds or asset classes, please clearly state the differences. 1. Outline your policy on engagement, including thresholds for when to undertake engagement, escalation criteria, and when to divest from the company; and whether a signatory of NZ Stewardship Code 2. For listed investments, outline public disclosure of voting record on ESG issues (include URL), and supporting information for: - policy and/or guidelines for voting on ESG issues - proportion of votes for and against management on ESG issues - proportion of listed equities in the portfolio voted by value For investments in private markets, please describe the information on ESG that is shared with investors or the public. 3. Describe engagement activity beyond voting (include URL, if any) and supporting information: - the coverage of companies in your portfolios and depth (eg. the proportion of companies you engage with occasionally versus deep and sustained engagement - the type of engagement activity, including direct engagement versus engagement through an external provider - contributions that you make to the success of companies in your portfolio, including governance, capital raising or management support. 4. Provide outcomes of engagement (include URL if relevant), including examples of companies where engagement has contributed to a company agreeing to an identified change or where there was a significant contribution to the success of the company.

Ethical Conduct and Better Member Outcomes

1. Provide a short description of the provider including: - membership growth over the past three years to 31 March 2024 - returns after fees over the past three years to 31 March 2024 -investment strategy (this may be a link to a URL). 2. Describe how you promote and communicate responsible investment, including: - Active memberships and certifications, such as UN PRI, RIAA, Mindful Fund designation - Involvement in advocacy, influence and the development of standards for responsible investment - Communications with your members and the public about ethical investment 3. Describe your climate policies and practices, including: - Your climate policy and approach to reducing emissions - Targets or commitments to reduce your operational emissions and the financed emissions in your funds, including specific actions and progress - Your disclosure of climate policies and emissions, including URL 4. Describe policies and practices which improve social and environmental outcomes in Aotearoa, including: - Initiatives to lift the financial literacy of members or the general public - Support for vulnerable KiwiSaver investors, including those suffering hardship - Measures to support diversity, equity and inclusion in your workplace and/or the sector - Strategy and % revenues for charity partnerships, donations and other forms of community support

Supporting documentation

Please include URL links to any supporting documentation for your entry, such as links to articles and other content referenced in the entry. We strongly encourage you to use URLs for your supporting documentation, however if you need to email any to us please send them to awards@mindfulmoney.nz.

Declaration

All information provided to Mindful Money through the 2024 Mindful Money Awards Entry Form is true and correct to the best of my knowledge.

Yes

Terms & Conditions of Entry

- An administration fee of $150 + GST per award entry is charged. An invoice will be sent to the contact details submitted with the award entry and must be paid by 31st May 2024. - You may nominate your own business, or others. You do not have to be nominated in order to enter the awards. - All entrants must provide true and accurate information and disclose any liabilities such as business and/or tax related and/or current pending litigation, which could compromise the judges’ analysis of the business, and/or adversely affect the integrity and reputation of the Mindful Money Awards. - Mindful Money will not accept responsibility for errors or omissions reproduced in award publicity material, or for work lost or damaged. - Entrants should not make contact with the judges in order to lobby or promote their entry. - Judging will be based on the evidence provided in the initial entry. Judges are required to declare any conflicts of interest. - Judges and Mindful Money staff sign a confidentiality agreement requiring that the information submitted will not be used for any other purpose than the judging process. - Once shortlisted within a category, supplementary information may be required. - Finalists and winners agree to being involved in publicity related to the awards, including photo and other media opportunities with sponsors, judges and Mindful Money staff. - A representative of category finalists must be available to attend the Awards ceremony at the Maritime Room in Auckland CBD on 14th June in person. - Mindful Money reserves the right and shall be permitted at all times to use at their discretion any material submitted for the Awards, on the Mindful Money website and in promotional and educational material for the purposes of generating awareness and publicity about the annual awards events.

I have read the Terms & Conditions of Entry and agree to comply with them.

Yes

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Contact awards@mindfulmoney.nz