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ESG 1.2 General application

28/11/2023G

The specific application of the rules and guidance in ESG 2, ESG 4 and ESG 5 is set out in ESG 1A and ESG 3.

28/11/2023G
  1. (1)

    The table at ESG 1.2.4G(2) provides a general overview as to how the rules in ESG 2, ESG 4 and ESG 5 apply to firms.

  2. (2)

    This table belongs to ESG 1.2.4G(1).

    Type of firm

    Applicable provisions

    All firms

    ESG 4.1.1R(1);

    ESG 4.3.1R

    Distributors

    ESG 4.1.1R(1);

    ESG 4.1.16R to ESG 4.1.19R;

    ESG 4.3.1R.

    Asset managers

    A firm managing a UK UCITS or an AIF, excluding:

    ESG 2 (except for ESG 2.3.5R to ESG 2.3.8R relating to on-demand TCFD information);

    ESG 4 (except for ESG 4.1.16R to ESG 4.1.19R relating to distributors) only in relation to UK UCITS and UK AIFs;

    ESG 5 (except for ESG 5.5.13R to ESG 5.5.15R relating to on demand sustainability information) only in relation to UK UCITS and UK AIFs.

    (a)

    a firm managing a feeder fund; or

    (b)

    a full-scope UK AIFM or a small authorised UK AIFM managing an unauthorised AIF not listed on a recognised investment exchange;

    A firm managing a feeder fund

    ESG 4.1.2R to ESG 4.1.8R, ESG 4.1.13R and ESG 4.1.14R;

    ESG 4.3.1R to ESG 4.3.8R;

    ESG 5.6

    A firm that is a full-scope UK AIFM or a small authorised UK AIFM managing an unauthorised AIF not listed on a recognised investment exchange

    ESG 2 (except for ESG 2.3.1R to ESG 2.3.4R relating to a public TCFD product report);

    ESG 4 (except for ESG 4.1.16R to ESG 4.1.19R relating to distributors) only in relation to UK AIFs;

    ESG 5 (except in relation to the preparation of Part B of a public product-level sustainability report) only in relation to UK AIFs.

    Asset owners

    A firm in table ESG 1A.1.1R(2), Part B

    ESG 2 (except for ESG 2.3.5R to ESG 2.3.8R relating to on-demand TCFD information);

    ESG 4.1.1R(1);

    ESG 4.3.1R.