The information on the following pages are for professional intermediaries only.

Principal Investment Management

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We specialise in discretionary portfolio management

Administration services

In an industry where poor administration is a common cause of dissatisfaction amongst investors, we pride ourselves on the accuracy and efficiency of our administration

Our highly experienced staff are supported by an excellent administration system, which was designed to our own exacting standards. In order to ensure the accuracy of our records, data input into this system is verified by cross-checking. All data input into this system is subject to a number of checks and reconciliations.

The administrative benefits of using discretionary portfolio management:

  • We can pay income to clients on a monthly, quarterly or six-monthly basis
  • We collect all dividends and interest payments
  • The majority of stocks and shares are now settled through 'CREST', the UK's electronic settlement system by our designated in-house settlements team. There is no need to hold individual share certificates, which are registered in our client nominee account through CREST. 
  • We provide Capital Gains Tax management as part of our service and, where applicable, we seek to make use of clients’ capital gains tax allowances each year when managing their portfolio

How we work with you: 

  • On your behalf, we arrange the safe custody of clients’ assets, which are registered in the name of Principal Nominees Limited, a wholly owned subsidiary of Principal Investment Management Limited
  • We provide six-monthly reporting, detailing all transactions undertaken, plus an annual tax booklet for all taxable portfolios to aid the completion of HMRC’s self assessment form.
  • We provide Probate Valuation service in line with certain conditions.

As the RDR is only a matter of months away, outsourcing to a discretionary manager will relieve you of much of the burdensome administration involved with your clients' investments.

The Handbook of Personal Wealth Management

Principal is a proud contributor to The Handbook of Personal Wealth Management. See chapter 2.2 for ‘Private clients: individual life stage needs and objectives.’

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Investing involves risk and the value of investments and the income from them may fall as well as rise and is not guaranteed. Investors may not get back the original amount invested. Click for more information about the risks involved.

© 2012 Principal Investment Management

Authorised and regulated by the Financial Services Authority. Part of the Sanlam Group.

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