Any criminal proceedings or investigations resolved, pending, or threatened against the firm, any of its affiliates, any of the firm’s employees, or any employees of affiliates within the last five years. Any civil, regulatory or administrative proceedings or investigations resolved, pending, or threatened against the firm, any of its affiliates, any of the firm’s employees, or any of employees of its affiliates within the last five years, including, but not limited to, any SEC investigations, actions, or consent degrees, and any reparations, arbitrations, or negotiated settlements. Whether any of the firm’s investment professionals has ever been investigated, disciplined, suspended (including revocation or suspension of licenses), subpoenaed, indicted, prosecuted, or barred from investment activities by any regulatory authorities. VIII. FEE PROPOSAL. Please provide your fee, broken down by the following services for an expected contract of up to three years, beginning on April 10, 2015: A. Combined Service Fees (Public Markets and Strategic Asset Allocation, Combined). B. Standalone Service Fees. Public Markets Advisory Services. Strategic Asset Allocation Advisory Services. IX. REPRESENTATIONS AND WARRANTIES. All respondents are required to submit an executed copy of the following Representations and Warranties. A. The respondent warrants that, if engaged by PRIM, it will not delegate, without prior written approval by PRIM, its responsibilities to a third party. B. Respondent warrants that it has completed, obtained, and performed all registrations, filings, approvals, authorizations, consents or examinations required by any government or governmental authority for acts to be performed in providing to PRIM the services sought by this RFP. C. Respondent warrants that it will agree to the provisions of the Agreement which are set forth in Exhibit C to this RFP. If there are provisions of the agreement that are of concern, please highlight those areas for further discussion.
Any criminal proceedings or investigations resolved, pending, or threatened against the firm, any of its affiliates, any of the firm’s employees, or any employees of affiliates within the last five years. Any civil, regulatory or administrative proceedings or investigations resolved, pending, or threatened against the firm, any of its affiliates, any of the firm’s employees, or any of employees of its affiliates within the last five years, including, but not limited to, any SEC investigations, actions, or consent degrees, and any reparations, arbitrations, or negotiated settlements. Whether any of the firm’s investment professionals has ever been investigated, disciplined, suspended (including revocation or suspension of licenses), subpoenaed, indicted, prosecuted, or barred from investment activities by any regulatory authorities. VIII. FEE PROPOSAL. Please provide your fee, broken down by the following services for an expected contract of up to three years, beginning on April 10, 2015: A. Combined Service Fees (Public Markets and Strategic Asset Allocation, Combined). B. Standalone Service Fees. Public Markets Advisory Services. Strategic Asset Allocation Advisory Services. IX. REPRESENTATIONS AND WARRANTIES. All respondents are required to submit an executed copy of the following Representations and Warranties. A. The respondent warrants that, if engaged by PRIM, it will not delegate, without prior written approval by PRIM, its responsibilities to a third party. B. Respondent warrants that it has completed, obtained, and performed all registrations, filings, approvals, authorizations, consents or examinations required by any government or governmental authority for acts to be performed in providing to PRIM the services sought by this RFP. C. Respondent warrants that it will agree to the provisions of the Agreement which are set forth in Exhibit C to this RFP. If there are provisions of the agreement that are of concern, please highlight those areas for further discussion.
Public_Markets_Asset_Allocation_Consultant_RFP_-_12082014.docx