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180 North
LaSalle Street
Suite 3500
Chicago, Illinois 60601
Tel: (312) 527-5500
Fax: (312) 527-9064
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Due Diligence – Compliance Oversight:
Marquette Associates has created a comprehensive compliance oversight
process that attempts to minimize the risk within an investment
program. Our firm has developed four distinct compliance status
positions to facilitate accurate communication among the investment
manager, the client, and Marquette. The investment manager status is
independently reviewed each quarter by the client’s consulting team
and communicated to the Investment Manager Committee. The firm’s
Investment Manager Committee, which consists of the senior members of the
organization as well as the Risk Compliance Officer, reviews
investment management firms that fail to meet Marquette’s established
performance criteria or are in violation of client guidelines. The
Investment Manager Committee proactively requires each firm in violation to
address the specific issues and present its strategy for resolution.
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