Awards Entry Form:

Best Overseas Ethical Fund

Entries have now closed

This award will go to the best overseas ethical or impact investment fund. Entry is open to funds that are not registered PIE funds and issued in another country. They must be actively marketed in New Zealand and made available to the New Zealand public through distributors, financial advisers, ETFs or platforms. This category is open to overseas ETFs, AUTs and other overseas registered funds.

Please submit portfolio listings for the fund, including company name, % of portfolio and ISIN numbers, ideally on a look-through basis as at 31 March 2024. As with other information, this data is confidential to the awards judging process.

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 paste it in.

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Fund Provider or Business Name

Name of Fund or Initiative

Website

Main contact for this 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.

Avoid Harm

Describe how your fund avoids investments in companies that do harm to the environment and/or society for issues important to the New Zealand public (see Mindful Money’s methodology). - Policies to avoid investing in companies that do harm, including clear definitions of exclusion criteria, materiality and thresholds for divestment - How ethical investment policies are applied to external funds with pooled mandates - The proportion of the portfolio under ethical investment management

Investment for Positive Impact

Describe the extent to which the fund includes companies that create positive social and/or environmental benefits. - 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

1. Outline your policy on engagement, including thresholds for when to undertake engagement, escalation criteria and when to divest from the company - if you are member of a Stewardship Code, please identify which code 2. For investors in listed companies, outline your existing or planned public disclosure of voting record on ESG issues (include URL), and supporting information: - 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 investors in private markets, please describe the information on ESG that is shared (or will be shared) with investors or the public. 3. Describe engagement activity beyond voting (include URL, if any), and supporting information (if not yet implemented, please provide your planned activity), including: - your approach, including the coverage of companies and depth of engagement (eg. companies you engage with occasionally versus those with deep and sustained engagement) - whether direct, third party or collaborative engagement - 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), and supporting information on 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. 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 communicate and promote ethical and impact investing to your members and the public 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. Outline policies and practices which improve social and environmental outcomes, including: - Initiatives to lift the financial literacy of members or the general public e.g. to encourage higher savings rates, or to help people make good choices at different life stages. - Measures to support diversity, equity and inclusion in your workplace and/or the sector - Strategy and % of 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.

The above declaration is true.

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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