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.
Fill in the form below to download this ComplianceCast™
Subscribe to CSS Blog
CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.