November’s Compliance Cast will look at the Adviser/Sub-adviser relationship, from the standpoint of sub-adviser. During the session, we will discuss:
- Qualities of an attractive sub-adviser candidate
- Initial and ongoing due diligence expectations
- Communications with the primary adviser
- Compliance and operational issues
The session will be presented by Melanie Mendoza and Matt Calabro of Ascendant, and Christine James, CFA, Managing Director, SubAdvisory Client Practice Leader at Wells Fargo Asset Management.
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