Equity Brokerage Questionnaire
The December 2, 2013 deadline for submitting Version 11 questionnaire has passed.
The Round 12 questionnaire is expected to be available mid-March 2014.
CalPERS staff and Mosaic Investment Advisors have developed a questionnaire to collect information from CalPERS current equity brokers and other firms who are interested in having a trading relationship with the Global Equity Internal Trading Unit. This questionnaire, which is periodically revised, 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 Global Equity Unit manage the Global Equity investment portfolio, including various types of research, analytic software, access to new equity offerings and the ability to commit capital
If you have questions about the submittal process that are not covered by our frequently asked questions (FAQs), please email Mosaic Investment Advisors.
Additional ResourcesTips for Completing the Questionnaire
FAQs - Equity Brokerage Questionnaire
Global Equity Program Internal Brokerage Roster
Fact Sheet: CalPERS Stock Trading Model (PDF, 150 KB)
Equity Brokerage Trading Business Model (PDF, 42 KB)