Solicitation Policy

The Company has established the following solicitation policy based on the Act on the Provision of Financial Services.

1. Matters to be considered in light of the knowledge, experience, property status of the person to be solicited, and the purpose of concluding a contract pertaining to the sale, etc. of the relevant financial product

After fully understanding the knowledge, experience and financial situation of our customers, we will strive to solicit investment that matches the intentions and actual circumstances of our customers.
When soliciting customers, we will endeavor to provide appropriate explanations regarding product details and risks, etc., in light of the customer's knowledge, experience, financial situation, and the purpose of concluding a contract related to the sale, etc. of the relevant financial product. increase.

2. Matters to be considered for the person to be solicited regarding the method and time of solicitation

Our company always strives to secure the trust of our customers, comply with laws and regulations, and make solicitations based on reasonable grounds.
The Company will conduct solicitations by telephone or visit at appropriate times, taking into consideration the customer's circumstances.

3. Other matters related to ensuring the appropriateness of solicitation

The Company complies with the Financial Instruments and Exchange Act and other rules and regulations of member associations, and strives to strengthen its internal control system so that appropriate solicitations can be made.
Our officers and employees will always strive to acquire and improve their knowledge and skills so as not to betray the trust and expectations of our customers.
We will endeavor to provide appropriate information so that customers can conduct transactions based on their own judgment and responsibility.

If you have any concerns about our solicitations,
please contact our Compliance Department at 03-3519-7880, E-Mail: PGIJ_Feedback@principal.com.

Established in July 2007
Revised in September 2012
Revised in January 2014
Revised in September 2019
Revised in November 2021

Principal Global Investors Co., Ltd.