Pursuant to Connecticut law and Office of the Treasurer policies, vendors and prospective vendors of the Office of the Treasurer are required to provide various reports, affidavits and other documents indicating compliance with such laws and policies.
I. Prior to contracting with the Office of the Treasurer
As part of the RFP/contract procurement process of the Office of the Treasurer, prospective vendors must complete the following Legal and Policy Attachments:
Directions for completion of the attachments
(Revised May 21, 2015)
Employment Information Report
Attachment A – CHRO Contract Compliance Regulations, Bidder Contract Compliance Monitoring Report, and Employer Information Report
Attachment B – Nondiscrimination Affidavit
Attachment C – Employment Practices Information
Attachment D – Affidavit of Third Party Fees and Disclosure of Consulting Agreements
Attachment E – Gift Affidavit
Attachment F - Corporate Citizenship
Attachment G – Notice of Legal Proceedings
Attachment H – Campaign Contribution Disclosure
Attachment I – Notice to State Contractors and Prospective State Contractors of Campaign Contribution and Solicitation Limitations
Attachment J – Anti-Terrorism Foreign Asset Control Regulations, Foreign Corrupt Practices Act
Attachment K – Conflicts of Interest
L – Iran Certification Form
II. Annual Compliance Requirements
Affidavit of Third Party Fees and Disclosure of Consulting Agreements
This annual affidavit, which updates the affidavit provided during the RFP/contract procurement process (see Attachment D, above), reports payments made by vendors in the previous fiscal year, July 1 through June 30 annually.
B. Global Security Risk Assessment
Pension Fund Management Division vendors are contractually required to provide an annual global risk assessment as of December 31 each year. In addition, vendors must certify their compliance with any investment restrictions imposed under Connecticut’s Sudan, Iran and MacBride laws, Conn. Gen. Stat. §§3-21e, 3-13g and 3-13h respectively
C. Insurance Certificate
Vendors that are contractually required to maintain insurance must produce annual proof of insurance, which may consist of a copy of the insurance policy or an insurance certificate.
D. Pension Funds Management Annual Manager Review
Annually, managers providing services to the Pension Funds Management division are required to update the following information:
- Employment Information Report
- Notice of Certain Legal Proceedings
- Corporate Citizenship
- Form ADV or other applicable regulatory disclosure
If you have any questions regarding compliance reporting, please call the
Chief Compliance Officer for the Office of the Treasurer at (860) 702-3211.