Compliance Reporting
Pursuant to Connecticut law and Office of Treasurer policies, vendors and prospective vendors of the Office of the Treasurer are required to provide the following compliance documents. Prior to completing these compliance documents, review the Office of State Ethics “State Contractors Guide to the Code of Ethics” here: Contractors-Guide-to-the-Code-of-Ethics-Rev-11-2021.pdf.
Use the current version of the form below and read each form carefully.
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I. |
Prior to contracting with the Office of the Treasurer As part of the RFP/contract procurement process of the Office of the Treasurer, prospective vendors must complete the following Legal and Policy attachments:
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Attachment 1 |
Compliance Checklist Must Provide Completed Checklist with Documentation. |
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CHRO Contract Compliance Report Parts I, II, III and V |
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(No Law firms) (Law firms only) |
CHRO Contract Compliance Report Part IV (EIR - Employer Information Report) - Part IV of the CHRO Contract Compliance Report is an Excel file. Submit in Excel format. |
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Diversity, Equity and Inclusion and Connecticut Nexus Questionnaire
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Third-Party Fees Affidavit |
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Conflict of Interest Certification |
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(Pension fund consultants only)
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Conflict of Interest - CRPTF Consultant Addendum - Respondents who provide consulting services to the CRPTF complete this supplemental addendum to Attachment 4A. |
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Legal Proceedings and Organization Certification |
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Campaign Contribution Affidavit - Prior to completing this certification, review the State Election Enforcement Commission Notice to Executive Branch State Contractors and Prospective State Contractors of Campaign Contribution and Solicitation Limitations.
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Evaluation and Implementation of Sustainable Principles |
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(Real estate investment managers only) |
Sustainable Principles Real Estate Addendum - Respondents who manage real estate asset classes for the CRPTF complete this supplemental addendum to Attachment 7A.
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II. |
Annual Disclosures - Vendors are required to confirm annually for each fiscal year. |
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A. |
Global Risk Assessment Certification - Annual certification by investment services providers confirming compliance with investment contract global securities risk and restricted investment requirements for prior calendar year. See the Investment Restrictions page.
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B. |
Annual Disclosures - Vendors are required to confirm annually for each fiscal year.
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C. |
Other contractually required contract submissions Insurance Certificates - Any vendor contractually required to maintain insurance must submit proof of insurance annually, which may consist of a copy of the insurance policy or an insurance certificate. Submit to OTT.Compliance@ct.gov. All other contractually required reports - Submit as directed by the relevant contact person within the Office of the Treasurer.
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If you have any questions regarding compliance reporting, please call the Chief Compliance Officer for the Office of the Treasurer at (860) 702-3030.