M&G Investments principles, policies and disclosures

Principles

OpenFinancial Conduct Authority's business principles

All financial services companies have to operate within the Financial Conduct Authority's stated ‘Principles for businesses’. They are:

Integrity. A firm must conduct its business with integrity.
Skill, care and diligence. A firm must conduct its business with due skill, care and diligence.
Management and control. A firm must take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems.
Financial prudence. A firm must maintain adequate financial resources.
Market conduct. A firm must take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems.
Customers' interests. A firm must pay due regard to the interests of its customers and treat them fairly.
Communications with clients. A firm must pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, fair and not misleading.
Conflicts of interest. A firm must manage conflicts of interest fairly, both between itself and its customers and between a customer and another client.
Customers: relationships of trust. A firm must take reasonable care to ensure the suitability of its advice and discretionary decisions for any customer who is entitled to rely upon its judgment.
Clients' assets. A firm must arrange adequate protection for clients' assets when it is responsible for them.
Relations with regulators. A firm must deal with its regulators in an open and cooperative way, and must disclose to the appropriate regulator appropriately anything relating to the firm of which that regulator would reasonably expect notice.

OpenFMSB Statement of Commitment

M&G lnvestment Management Limited (‘M&G’) acknowledges that the Standards published by the FICC Markets Standards Board ("FMSB") represent generally recognised good practice in the wholesale Fixed lncome, Currencies and Commodities ("FICC") markets. M&G confirms that it is committed to conduct its FICC market activities (its "Activities") in a manner consistent with the Core Principles contained in FMSB Standards, and to have internal policies, procedures and controls reasonably designed to give effect to those Core Principles where they are applicable to its Activities, in a manner that is commensurate with the nature of its Activities in the relevant entity or jurisdiction.

This Statement of Commitment applies to all Standards published by FMSB in final form prior to 31 December 2019 and reaffirms any previous Statements of Commitment made by the Institution where appropriate.

OpenMarket soundings

In response to the Market Abuse Regulation, effective date 3 July 2016, and with particular reference to ESMA’s final report on market soundings and delay of disclosure of inside information [ESMA/2016/1130] of the 13 July 2016, M&G Investments has designated specific personnel to receive market soundings for M&G Investments. All other individuals within M&G Investments have been advised that they are not permitted to receive market soundings.

Article 11(1) of MAR describes a ‘market sounding’ as a communication of information, prior to the announcement of a transaction, in order to gauge the interest of potential investors in a possible transaction and the conditions relating to it such as its potential size or pricing, to one or more potential investors.

To request the list of personnel authorised to receive market soundings, please contact MarketConduct@MandG.Com

Policies and disclosures

OpenInducements policy

Inducements disclosure statement

OpenBest Execution policy

Best Execution policy

OpenCapital Adequacy disclosures

MIFIDPRU disclosures

M&G Investments MIFIDPRU 8 Disclosures: dated 31 December 2022

OpenESG Investment Policy

ESG Investment Policy

OpenRemuneration policy

M&G Investments FA Limited

Remuneration Governance

OpenRTS28 and Article 65(6) disclosures

Year	Annual Report	Top 5 Venues Data
2017	MiFID II Best Execution Disclosures
2018	MiFID II Best Execution Disclosures	Best Execution Top 5 Venues Data
2019	MiFID II Best Execution Disclosures	Best Execution Top 5 Venues Data
2020	MiFID II Best Execution Disclosures	Best Execution Top 5 Venues Data

OpenShareholder Rights Directive II Policy and Disclosure

M&G Investments Engagement policy

M&G Investments Disclosure

You are about to enter the website of M&G Investments, a direct subsidiary of M&G plc.
Click here to proceed.

M&G plcの直接子会社であるM&G Investments（M&Gインベストメント）のウェブサイトにアクセスするには、
こちらをクリックしてください。

If you are looking for the affiliates of Prudential Financial, Inc., whose principal place of business is in the United States of America, click here to proceed.

アメリカ合衆国を主たる事業領域とするPrudential Financial, Inc.（プルデンシャル・ファイナンシャルInc.）の関連会社をお探しの場合は、こちらをクリックしてください。

If you are looking for the affiliates of Prudential plc, an international group incorporated in England and Wales, click here to proceed.

イングランド及びウェールズで設立された国際グループ企業であるPrudential plc（プルデンシャル・ピーエルシー）の関連会社をお探しの場合は、こちらをクリックしてください。

M&G plc, incorporated and registered in England and Wales. Registered office: 10 Fenchurch Avenue, London EC3M 5AG. Registered number 11444019. M&G plc is a holding company, some of whose subsidiaries are authorised and regulated, as applicable, by the Prudential Regulation Authority and the Financial Conduct Authority.

M&G plc is a company incorporated and with its principal place of business in England, and its affiliated companies constitute a leading savings and investments business. M&G plc is the direct parent company of The Prudential Assurance Company Limited. The Prudential Assurance Company Limited is not affiliated in any manner with Prudential Financial, Inc, a company whose principal place of business is in the United States of America or Prudential plc, an international group incorporated in England and Wales.

M&G plc は、イングランド及びウェールズで設立・登録。本社登録地は10 Fenchurch Avenue, London EC3M 5AG。登録番号11444019。M&G plcは持ち株会社で、その子会社の一部はPRA（健全性監督機構）及びFCA（金融行為規制機構）に認可され、それらの規制対象となっています。

M&G plc は、イングランドを登録地、及び主たる事業領域とする会社で、その関連会社は有数の貯蓄・投資機関として基盤を確立しています。M&G plcは、Prudential Assurance Company Limited（プルデンシャル・アシュアランス・カンパニー・リミテッド）の直接親会社です。なお、Prudential Assurance Company Limitedは、アメリカ合衆国を主たる事業領域とするPrudential Financial, Inc.（プルデンシャル・ファイナンシャルInc.）またはイングランド及びウェールズで設立された国際グループ企業であるPrudential plc（プルデンシャル・ピーエルシー）とは一切関係がありません。