Governor  Dannel P. Malloy
 

Pension Funds

Compliance Reporting

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

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


II. Annual Compliance Requirements

A. 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:

  1. Employment Information Report
  2. Notice of Certain Legal Proceedings
  3. Corporate Citizenship
  4. Form ADV or other applicable regulatory disclosure

If you have any questions regarding compliance reporting, please call the Director of Compliance for the Office of the Treasurer at (860) 702-3070.