Special Consulting Services
Investment Policy Design/Review/Revision
Depending on the risk profile and sophistication level of the client, First Southwest can provide a model policy or propose revisions to the existing policy. Legislative changes in the State investment law makes it necessary for public entities to make revisions to their policies. State Law requires that an annual review of policy and fund strategies be performed. Acting as a third-party, First Southwest can add credibility to this exercise with a thorough review.
Independent Portfolio Review
First Southwest can perform a complete and independent review of security purchases, sales, and current holdings relative to stated policy and strategy guidelines. We provide a written summary of our findings. This compliance check often helps to identify potential problems before they surface. Even in a case when the portfolio has been prudently managed, an independent review assures the governing body that there will be no surprises. The cost of this service is based on the number of securities held in the portfolio and their level of complexity. This service is beneficial on an annual basis to any public entity that has purchased more than twenty securities in a year.
Banking Services Review/Analysis
First Southwest can assist small to medium size public entities in the preparation of a written banking services Request For Proposal (RFP). We will analyze the bids that are received and help the client in the selection process. The level of involvement varies considerably depending on the size and sophistication of the client.
Fees for all consulting services are determined on a case by case basis and will vary depending on the scope and nature of the project. A fixed fee quote is provided prior to commencing any work.