We invite you to join ACA Compliance Group’s Michelina Cuccia and Erik Olsen, and Joseph Paolo from AXA Equitable on Tuesday, October 16th, 2018 at 2 P.M. EDT as they discuss the makeup of an investment adviser’s due diligence program and compliance oversight of sub-advisers.
In today’s world of investment specialization, investment advisers may look to contract with sub-advisers to bring special expertise to the management of client accounts. As part of this hiring process, an investment adviser must establish a due diligence and oversight program to assist in carrying out its compliance and fiduciary duties to its client accounts.
- Developing and carrying out initial and ongoing due diligence programs
- Developing and carrying out compliance oversight
- Common challenges faced by advisers and sub-advisers in their relationships