Due Diligence and Oversight of Sub-Advisers

October 16, 2018 - 2:00 pm to 3:00 pm
Investment Adviser Investment Company
Michelina Cuccia, Erik Olsen, and Joseph Paolo

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.

Discussion Topics:

  • 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