Due Diligence of Sub-Advisers and Other Third-Parties

November’s Compliance Cast will look at the Adviser/Sub-adviser relationship, from the standpoint of sub-adviser. During the session, we will discuss:

  • Qualities of an attractive sub-adviser candidate
  • Initial and ongoing due diligence expectations
  • Communications with the primary adviser
  • Compliance and operational issues

The session will be presented by Melanie Mendoza and Matt Calabro of Ascendant, and Christine James, CFA, Managing Director, SubAdvisory Client Practice Leader at Wells Fargo Asset Management.

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