Financial Investment Policy Compliance Checklist

Ensuring adherence to your company's investment policy is crucial for fostering sound decision-making and maintaining regulatory compliance. This comprehensive checklist will help guide you through the important steps and considerations involved in this process.

Investment Policy Review

• Verify the current investment policy's availability

• Review the investment policy for comprehension

• Evaluate the need for amendments or updates to the policy

Investment Decision-Making Process

• Ensure all investment decisions align with the investment policy

• Implement a system for tracking and validating decisions

• Audit past investment decisions for compliance

Compliance and Regulation

• Ensure regulatory requirements are built into the policy

• Monitor for changes in regulations and update the policy as needed

• Conduct regular audits to verify adherence to regulations

Training and Communication

• Train relevant staff on the investment policy and any updates

• Ensure timely communication of policy changes

Prepared by: [Your Name]