Chicago Teacher s Pension Fund (CTPF) Request for Information Minority, Female, or Disabled Owned Brokers March 2014 1
Table of Contents I. Summary Statement 3 II. Overview of Organization 4 III. Financial Status 4 IV. Regulatory/Compliance 5 V. References 5 Appendix CTPF Contact List CTPF Checklist Appendix A Appendix B 2
I. Summary Statement Dear Applicant: Chicago Teacher s Pension Fund (CTPF) Request for Information (RFI) March 2013 Minority, Female, or Disabled Owned Approved Brokers Thank you for your interest in Chicago Teachers Pension Fund (CTPF) Approved Minority, Female, or Disabled Owned Broker Dealers Program. CTPF is committed to providing opportunities for minority, female or disabled owned broker dealers. In light of this commitment, your company is invited to complete this application to be included on CTPF's Approved Minority, Female, or Disabled Owned Broker Dealers List. This list is circulated to our money managers, who are required to utilize approved broker dealers on the list for a percentage of trade transactions executed on the behalf of the Chicago Teachers Pension Fund. In order to be included your company must meet the following requirements: 1) be registered as a minority, female, or disabled owned enterprise in the United States of America, for at least one year prior to your application 2) have an office in Illinois, with at least one full time employee that holds at least a Series 7 license 3) Submit application by deadline date of April 7, 2014 by noon CST. If your company meets these requirements, we invite you to submit your application along with the following documents for review: MWDBE Certifications (Illinois preferred) IL Department of Central Management Services (Illinois Vendor License) www2.illinoi.gov/cms U4 for all head trading staff and employees with 5% or more ownership EEOC chart Organizational chart In addition, 3 hard copies of the RFI must be received by CTPF and by e-mail to rfp.invest@ctpf.org and gomezg@ctpf.org no later than 12:00 Noon (CST), April 7, 2014. Please send your complete application to: Ms. Gissel Gomez, Portfolio Manager Public Markets Chicago Teachers' Pension Fund 203 North LaSalle St., Ste 2600 Chicago, Illinois 60601 3
Broker Questionnaire II. Overview of Organization 1. How long has your firm been in the broker-dealer business? How long has the existing senior management been in place at your firm? 2. Provide the location of your firm s corporate headquarters as well as the location of other company offices. 3. Please describe the current ownership structure (form of organization, state of incorporation, affiliate and/or subsidiary entities, detailed ownership profile, other particular qualifications). Have there been any changes within the previous 3 years? Are there any changes anticipated? 4. In which states is your firm registered to do business? 5. Describe asset classes, sectors, or regions your firm specializes in to provide exceptional value in trading securities. 6. Does your firm qualify as a certified Minority, Female, or Disabled-Owned Business? If so, please identify all such certifications and attach proof of same to your response to this questionnaire. If not certified in Illinois, please let us know when Illinois certification process was started. 7. Please describe the number of employees dedicated to institutional equity trading, their roles and professional qualifications/backgrounds and years of experience. 8. Describe any regulatory sanctions of either the firm or key personnel (current and in the past 10 years). If applicable, include regulatory sanction information for any firms that may have been consolidated with your firm. III. Financial Status 1. Are there any outstanding judgments against the firm, affiliated/subsidiary entities, the principal owners, etc.? IV. Regulatory / Compliance 1. Please identify all Federal and State regulatory agencies, SROs, or other similar entities with which you are registered. 4
V. References 1. Please provide at least three references (two investment management firms, one client organization) for whom you have executed Equity trades and/or Fixed Income trades within the last year. Client Name: Title: Telephone: Length of Relationship: Services Provided: Client Name: Title: Telephone: Length of Relationship: Services Provided: Client Name: Title: Telephone: Length of Relationship: Services Provided: 5
Firm Information: Appendix A Primary Address: Chicago Address: CRD Number: DTC Number: Primary Contact Information: Secondary Contact Information: Reporting Contact Information: Trading Contact Information: 6
Compliance Contact Information: 7
Appendix B Internal Use Only MWDBE Certifications (Illinois Preferred) IL Department of Central Management Services (Illinois Vendor License) U4 for all head trading staff and employees with 5% or more ownership EEOC chart Organizational chart Onsite visit date Approved Not approved: Reason Acceptance letter sent---date / / Denial letter sent----date / / Added to the list----date / / 8