Due Diligence Guidelines
In an effort to increase transparency and create consistency throughout Corient’s use of alternative investments all offices should utilize Corient’s Alternatives Due Diligence Guidelines. These guidelines will help ensure a standard level of due diligence is conducted for all alternative investments. These standards represent what has been implemented by Corient’s Alternatives Team for all centrally sourced alternative investments, but it is imperative from a regulatory perspective that we utilize a common practice across the firm.
Documents
Any questions regarding the due diligence guidelines or initial approval request for any new alternative investment should be directed to AltsApprovals@corient.com.
- Alternatives – Guidelines Overview - Summary table of key alternative investment processes
- Alternatives – Due Diligence Flowchart - Summary graphic to help identify the appropriate diligence process
- Diligence Committee Charter - Charter detailing the new diligence committee
- Alternatives – Initial Approval Request - Required form to be submitted prior to initiating due diligence
- Local Office Alternatives Diligence Guidelines - Detailed due diligence requirements for Local Office alternatives
- Opportunistic Alternatives Diligence Guidelines - Detailed due diligence requirements for Opportunistic alternatives
- Alternatives Due Diligence Checklist – Final Approval Request - Required form to be submitted after due diligence has been completed prior to investment commitments
- Alternatives – Ongoing Monitoring Checklist - Required form to be submitted on an annual basis detailing annual due diligence requirements