Request #19-71
  Closed

Current requirements for the use of third party placement agents and lobbyist disclosure requirements for investment managers looking to approach the Rhode Island Employee Retirement System.


Received

October 10, 2019 via email


Departments

General Treasury

Documents

Public

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Staff

Point of Contact

Kara DiPaola

Request Published Public
November 22, 2019, 12:36am
Request Closed   Hide Public

We write in response to your October 10, 2019 request for information pursuant to the Rhode Island Access to Public Records Act (APRA).  Your specific request is noted below along with our corresponding response.

I'm doing a survey of lobbyist registration and third party marketer requirements for public pension funds in the US. I'm writing to ask if someone in your office could help me determine current requirements for the use of third party placement agents and lobbyist disclosure requirements for investment managers looking to approach the Rhode Island Employee Retirement System.

Please find attached the documentation responsive to your request.  You can also find relevant information here: http://investments.treasury.ri.gov/investment-philosophy/

If you contend you have been denied access to public records, pursuant to R.I.G.L. § 38-2-8, you may appeal this decision to Amy Crane, General Counsel, 50 Service Avenue, 2nd Floor, Warwick, RI 02886.  You may also file a complaint with the Department of the Attorney General, 150 South Main Street, Providence, RI  02903 or the Rhode Island Superior Court of the county where the records are maintained.

Additional information regarding the Access to Public Records Act may be found at http://www.riag.ri.gov/civil/opengovernment

Thank you for your interest in keeping government open and accountable to the public.

October 22, 2019, 10:56am
Document(s) Released Public
Code of Coduct Investor Pledge with Header.pdf
Defined-Benefit-IPS-005.pdf
(Master) Placement Agent Disclosure Certificate (Pooled Trust).pdf
October 22, 2019, 10:55am
Department Assignment Public
General Treasury
October 10, 2019, 12:20pm
Request Opened Public
Request received via email
October 10, 2019, 12:20pm