Due Diligence reuests

The documents below can be used to respond to due diligence requests from external parties;

1.  Due Diligence Guidance (this is an internal document, setting out the approach we take for Partner Firms) and this is the attestation form we use as part of this process Partner Firm Attestation Form Feb 26 v1.0
2. Due Diligence Document (this can be shared externally) and can also be added to the UME Database for Fund Manager queries (the HSL Risk Committee has agreed an exception to the wider SS&C Policy to allow this)
3. Wolfsberg Questionnaire (this can be shared externally) and can also be added to the UME Database for Fund Manager queries (the HSL Risk Committee has agreed an exception to the wider SS&C Policy to allow this).

Due Diligence for new clients is managed as part of the onboarding process, by the GIDs Project Management Group, using the Partner Firm Attestation Form linked above.

If you need further support, please find the relevant contact points below;

• Incoming requests from Partner Firms, DFMs and Third Party Product Providers - please contact the Client Audit & Oversight Team: 
• "Client Audit & Oversight" <ClientAuditandOversight@sscinc.com>. 
• For queries relating to outgoing requests, please refer to Carl Wright or Louise Hems in Business Management for guidance. 
• Incoming requests from Fund Managers - Production Support will initially support via the UME Database (if the FM has access) or via the "HW-Agreements" <HW-Agreements@sscinc.com> mailbox and refer onto "Client Audit & Oversight" <ClientAuditandOversight@sscinc.com> mailbox as required.
• Incoming or outbound request in respect of Suppliers - the Business Relationship Owners are responsible for this and if you are unsure who that is, please check here: BROs.xlsx.