Due Diligence and Oversight of Sub-Advisers

Date
Time
On Demand
Location

Your desk!

Type
Webcast

We invite you to join ACA as we 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