PBGC_RFP_16PBGC25R0052_Attachment_4_-_Phase_2_Firm_Resources_Questionnaire.pdf
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- Attached to
- PBGC Active EME Investment Management Services
- Solicitation number
- 16PBGC25R0052
- Issued by
-
Pension Benefit Guaranty Corporation
About this file
This document is an Attachment 4 Firm Resources Questionnaire for an Active Emerging Market Equity Investment Management Services Request for Proposal (RFP) issued by the Pension Benefit Guaranty Corporation (PBGC). The questionnaire contains 15 detailed questions focusing on the investment firm's staffing, organizational structure, compliance functions, investment professionals, client service capabilities, and operational procedures.
Key areas of inquiry include the total number of employees, middle/back-office operations, compliance reporting channels, emerging market equity investment team composition, client service approach, investment professional responsibilities, compensation structures, backup procedures for key personnel, client reporting methods, and communication practices. The document requires comprehensive details about the firm's resources, team dynamics, professional qualifications, and operational capabilities specific to emerging market equity investment management services, with instructions to utilize specific tables in Attachment 6 for providing detailed responses.
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ATTACHMENT 4 – FIRM RESOURCES QUESTIONNAIRE
ACTIVE EMERGING MARKET EQUITY INVESTMENT MANAGEMENT SERVICES
REQUEST FOR PROPOSAL No. 16PBGC25R0052
The offeror must respond to each of the questions in the format below.
FACTOR 3 - FIRM RESOURCES
A. STAFFING
If the entire research team used by your product was not listed in the staffing section of this proposal, please list them below with the requested biographical information.
1. List the total number of people employed by discipline as of 12/31/24. Please utilize Table 15 in
Attachment 6 for your response and include employees for the entire firm and for the EME team.
2. Briefly describe your firm’s middle/back-office divisions covering operations, information technology, and portfolio accounting. Indicate which, if any, of these functions are outsourced.
Provide an organizational chart of your firm’s middle/back-office divisions in an attachment.
Provide a schematic of the reporting channel between back office and senior management in an attachment.
3. Describe your compliance function including reporting channels. Please provide an organization chart of your compliance department.
4. Indicate whether the emerging market equity investment management capability was developed in-house or derived through acquisition of investment talent from another firm. If the latter, indicate when this occurred.
5. Who will be the client service officer assigned to the PBGC relationship and where are they located?
Explain how the client service team assigned to the PBGC account would function, including lead person, back-up, quality control, and support services.
6. Utilizing Table 16 in Attachment 6, provide a detailed organization chart of the EME investment professionals including names, titles and reporting lines. List all principal officers, portfolio managers, research analysts, and client service officers involved with the emerging markets equity product and provide biographies for each individual in an attachment. In the table, highlight the person(s) who would be responsible for PBGC’s account including the lead and back-up portfolio managers and client-service professional(s).
7. Please list all other products the investment professionals listed in Table 16 are also responsible for or associated with or provide advice for. Include number of clients and assets under management (AUM) for each product.
8. Are there other investment professionals buying emerging market equity securities that are not part of the team listed above, such as EAFE or ACWI portfolio managers? If so, how do they interact with the team listed above? What is the amount of these emerging markets equity assets as of 12/31/24?
9. Are the investment professionals listed above obligated to serve on other formal teams or committees (e.g., proxy voting committee, investment committee)? Describe the purpose of those teams/meetings, their frequency and duration.
10. Utilizing Table 17 in Attachment 6, indicate when and why any investment personnel (i.e., portfolio managers, analysts, and traders) left or joined the firm in the last five years. List by asset class and function.
11. Describe your firm’s backup procedures and people involved in the event the strategic investment professionals assigned to this account should leave the firm.
12. Discuss your organization's compensation and incentive program for investment professionals, including details of how bonuses are determined. How are professionals evaluated and rewarded?
What metrics are most important in determining compensation? What incentives are provided to attract and retain superior individuals? If equity ownership is possible, on what basis is it determined and distributed?
13. Provide samples of a standard client reporting package in an attachment (e.g., performance, strategy reviews, attribution, etc.)
14. Do you or your custodian distribute monthly electronic holdings and transaction reports to third party risk management systems providers and T-cost consultants? Would you have any problems doing this for PBGC?
15. What other communication and educational conferences are provided to clients (include a description and/or samples of white papers, conference agendas, etc.)?
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