Reporting Suspected Unethical or Fraudulent Activity

As a leader in the financial services industry, we take seriously our obligation to customers and our global communities to conduct business in a legal and ethical manner. This ranges from protecting our customers from increased costs associated with fraudulent activities to conducting ourselves in a manner that enhances public trust and confidence in the Principal Financial Group® and its affiliates, and the financial services industry.
No company is immune from the risk of unethical conduct or fraudulent activity. It is our responsibility to take appropriate action when these situations are suspected or may occur. Our company does not tolerate, and takes aggressive action against, unethical conduct or fraud whether perpetrated by employees, customers, vendors, those who sell our products, or others. Additionally, the company confirms its long-standing policy against retaliation for reports of any type of suspected unethical or fraudulent activity when made in good faith.
If you are aware of a situation of suspected fraud, criminal activity, ethical concerns or questionable business practices affecting you and any of the companies of the Principal Financial Group, including Edge Asset Management, Inc., complete our report form (link provided below) or call us at 1.206.913.5800. Situations could pertain to:

  • Fraud, such as forgery, theft, embezzlement, identity theft, misuse of company assets.
  • Ethics and compliance issues, such as financial reporting, insider trading, antitrust regulations, conflict of interest, or misrepresentation.

Please provide as much information as you feel comfortable sharing or you can remain anonymous. This website should not be used for emergency matters that require immediate verbal notification. If your situation does not pertain to the Principal Financial Group or one of its affiliates, you should report your concerns to the fraud unit of the entity involved.

Select from below to submit a report, follow up on a report that has already been submitted, or read our Code of Business Conduct and Ethics.

Unethical or fraudulent activity reporting form