Due Diligence and Oversight of Sub-Advisers

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