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NYS Comptroller

THOMAS P. DiNAPOLI

NYS Common Retirement Fund
Internal Equity and Fixed Income Broker Search


Brokers seeking selection as an equity broker or fixed income broker for the NYS Common Retirement Fund's (NYSCRF) internally managed equity and fixed income portfolios must complete the appropriate survey(s) by stated deadlines. The most recent broker selection process closed as of March 7, 2017. New surveys will be available towards the beginning of the third quarter in 2017. Firms that want to be considered for both the equity and fixed income trading pools must complete and submit both questionnaires.

As part of the due diligence process, the NYSCRF will require a background check of key personnel and employees of the broker who are directly responsible for the NYSCRF relationship. Accordingly, upon request, the firm and its designated personnel/employees will be expected promptly to provide individual signed release forms permitting the NYSCRF to perform the required background investigations.

In addition, prior to the approval of any broker as eligible to execute transactions for the NYSCRF, the broker will be required to certify to the NYSCRF that the broker (1) is familiar with restrictions on accepting gifts and hospitality that apply to NYSCRF staff as State employees, (2) will provide training to its employees on these restrictions, (3) will monitor its employees for compliance with such restrictions and (4) will promptly notify the NYSCRF Director of Compliance in the event it becomes aware of a violation of such restrictions.

NYSCRF hired Mosaic Global to assist with the questionnaire and the broker selection process. Please direct all questions to: nycrf_questionnaire@mosiac-global.com or (978) 287-5340.