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   (Revised March 6, 2020)

Attachment A - CHRO Contract Compliance Regulations, Bidder Contract Compliance Monitoring Report, and the Employment 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 (Revised February 28, 2019)

Attachment F - Corporate Citizenship

Attachment G - Notice of Legal Proceedings (Revised 01/24/20)

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

Attachment L - Iran Certification Form

Attachment M - Evaluation and Implementation of Sustainable Principles

Attachment M (Real Estate) - Evaluation and Implementation of Sustainable Principles

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. 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 and Iran 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. Annual Manager Review

Managers providing services to the Pension Funds Management division are required to provide or update the following information:

1. Employment Information Report
2. Notice of Certain Legal Proceedings
3. Corporate Citizenship
4. Evaluation and Implementation of Sustainable Principles [Link for Real Estate Fund managers]
5. 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) 702-3030.