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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 (Fund) 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. The process will reopen on January 1, 2019.

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

In addition, prior to the approval of any broker as eligible to execute transactions for the Fund, the broker will be required to certify to the Fund that the broker (1) is familiar with restrictions on accepting gifts and hospitality that apply to Fund 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 Fund's Director of Compliance in the event it becomes aware of a violation of such restrictions.

The Fund 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.