Custodial services for alternative investments

Institutional investors of alternative investments often find gathering of data and reporting to be challenging—from non-standardized formats to limited regulations to manual processes and outdated technology.

These challenges put investors at risk of not meeting reporting requirements, regulatory non-compliance, and data inaccuracies.

We can deliver comprehensive alternative investment data and document management through automated solutions designed specifically for private markets asset class. Through significant investments in industry-leading technologies we can meet the unique complexities of this asset class in a timely, transparent, and secure manner.

• Use of Canoe Intelligence, an industry-leading technology that seamlessly integrates with fund company portals and emails to collect, track, and extract data with extreme precision.
• A dedicated team to oversee the delivery of market value statements (including daily NAV, if provided) and transaction confirmation notices. This includes oversight of the data transfer process from outside funds to our custodial platform with multiple layers of validation checks.
• The option of setting up a standing letter of direction to automatically process capital calls on their due date (upon receipt of the capital call notice).
• Monthly reporting designed to meet client-specific needs and timelines, including reissuing statements when necessary.
• A service model focused on a consultative client relationship.

• Seek to provide timely and efficient private market asset valuation statement delivery
• Automation of capital call management
• A secure and transparent infrastructure for portfolio data
• A clear, holistic view of all portfolio holdings

The subject matter in this communication is educational only and provided with the understanding that Principal^® is not rendering legal, accounting, investment advice, or tax advice. You should consult with appropriate counsel, financial professionals and other advisors on all matters pertaining to legal, tax, investment or accounting obligations and requirements. The information shown is not intended to provide any suggestion that you engage in or refrain from taking a particular course of action.

OCIO solutions and LDI solutions are provided by Investment Solutions, an advisory team within Principal Asset Management^SM. Principal Asset Management leads global asset management at Principal^®.

Custody and trust services are provided by Principal Bank^®, Member FDIC, and/or Principal Trust Company^®. These services are provided under the trade name Principal^® Custody Solutions. Principal Trust Company is a trade name of Delaware Charter Guarantee & Trust Company.

When Principal Custody Solutions is providing investment management services, Principal Custody Solutions serves as the investment manager or discretionary trustee but leverages the investment expertise of Principal Asset Management. Customers may also contract directly with Principal Asset Management for investment management services. In those instances, Principal Custody Solutions serves solely in a custodial or trustee capacity. Please refer to your underlying service agreements for details.

Principal Global Investors, LLC is registered with the U.S. Commodity Futures Trading Commission (CFTC) as a commodity trading advisor (CTA), a commodity pool operator (CPO) and is a member of the National Futures Association (NFA). Principal Global Investors advises qualified eligible persons (QEPs) under CFTC Regulation 4.7. Principal Asset Management is a trade name of Principal Global Investors, LLC.

Insurance products and plan administrative services provided through Principal Life Insurance Company^®.

Principal Life Insurance Company, Principal Global Investors^®, Principal Bank, and Principal Trust Company are members of the Principal Financial Group^®, Des Moines, Iowa 50392.

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