Equity Brokerage Questionnaire

Version 14 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 Internal Training Unit manage the Global Equity investment portfolio, such as various types of research, analytic software, access to new equity offerings, and the ability to commit capital

If you would like the PDF version of the questionnaire or 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 submittal.

The deadline to submit Version 14 questionnaire is Monday, June 1, 2015.


Additional Resources

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

Dated: 03-12-2015