Equity Brokerage Questionnaire
Version 10 is now available.
CalPERS and Mosaic Investment Advisors developed this questionnaire to efficiently collect information from the System’s current equity brokers and other firms who are interested in having a trading relationship with our investment staff. This questionnaire, revised in March 2012, helps us evaluate brokers’ capabilities, including:
- Individual market presence
- Specialized trading capabilities
- Operational ability to receive, process and settle trades in a robust and efficient manner
- Value-added ways that brokers can help CalPERS investment staff manage the System’s Global Equity portfolio, including various types of research, analytic software, access to new equity offerings, and the ability to commit capital.
Your responses are secure and are removed as they are used to populate our internal database.
If you have additional data that you wish to submit or have questions that are not covered by our FAQs or the other available material, email Mosaic Investment Advisors.
We look forward to receiving your questionnaire.
Deadline to submit Version 10 questionnaire is Monday, June 3, 2013.
Additional ResourcesInternal Global Equity Brokerage Roster
Tips for Completing the Questionnaire
Download the Questionnaire (PDF, 275 KB)
Fact Sheet: CalPERS Stock Trading Model (PDF, 150 KB)
FAQs - Equity Brokerage Questionnaire