Get the free Subadviser Due Diligence Form

SUBADVISER OVERSIGHT: ANNUAL DUE DILIGENCE QUESTIONNAIREProduct of the Investment Company Institutes Chief Compliance Officer Committee Version 1.0 January 2023ANNUAL DUE DILIGENCE QUESTIONNAIRE FOR

How to fill out subadviser due diligence form

How to fill out subadviser due diligence form

1. Gather all necessary documents related to the subadviser.
2. Provide basic information about the subadviser, including name, address, and contact details.
3. Complete the sections regarding the subadviser's investment philosophy and strategy.
4. Include information on the subadviser's performance history and credentials.
5. Fill out risk management and compliance practices of the subadviser.
6. Disclose any potential conflicts of interest.
7. Review the form for accuracy and completeness.
8. Submit the form to the appropriate department or governing body.

Who needs subadviser due diligence form?

1. Investment firms or asset managers that are considering hiring a subadviser.
2. Regulatory bodies that require due diligence documentation.
3. Compliance officers within financial institutions.
4. Portfolio managers who need to assess the suitability of a subadviser.

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What is subadviser due diligence form?

The subadviser due diligence form is a document used by investment firms to assess the qualifications and performance of subadvisers they may use to manage client assets.

Who is required to file subadviser due diligence form?

Investment firms and advisers that utilize subadvisers for managing client funds are typically required to file the subadviser due diligence form to ensure compliance with regulatory requirements.

How to fill out subadviser due diligence form?

To fill out the subadviser due diligence form, one must provide detailed information about the subadviser’s qualifications, investment strategies, performance history, compliance with regulations, and any other pertinent information as specified by the regulatory authority.

What is the purpose of subadviser due diligence form?

The purpose of the subadviser due diligence form is to ensure that investment firms conduct thorough evaluations of subadvisers, maintaining investment quality and protecting client interests.

What information must be reported on subadviser due diligence form?

The form typically requires reporting on the subadviser's history, qualifications, investment objectives, risk management practices, regulatory compliance records, and fee structures.