Equity Brokerage Questionnaire

Version 12 is now available.

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 which are not covered by our frequently asked questions (FAQs), please email Mosaic Investment Advisors.

Complete the questionnaire now.

We look forward to receiving your questionnaire.

Deadline to submit Version 12 is Monday, June 2, 2014.

Additional Resources

Download the Questionnaire (PDF)
Example Answers for Completing Questionnaire (PDF)
Tips for Completing the Questionnaire
FAQs - Equity Brokerage Questionnaire
Global Equity Program Internal Brokerage Roster (PDF)
Fact Sheet: CalPERS Stock Trading Model (PDF)
Equity Brokerage Trading Business Model (PDF)

Dated: 04-10-2014