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Free Investment Policy Statement Sample

Get a free copy of our sample policy you can edit to meet you need and save time creating your own from scratch.

This example statement was written by Keith Inniss, Fellow of the Institute of Canadian Bankers, with the objective of helping you save your company the time and money it would take to develop your own from scratch. Following is the outline showing what is included in this sample:

 

The Investment Policy Outline

  • Scope
  • Investment Objectives (Safety, Credit Risk, Interest Rate Risk, Currency Risk, Sovereign Risk, Liquidity, Investment Yields)
  • Standards of Care (Prudence, Ethics & Conflicts of Interest, Delegation of Authority, Checks & Balances)
  • Transactions (Internal Controls, Authorized Financial Dealers and Institutions, Eligible Investment, Investment Restrictions and Prohibited Transactions)
  • Parameters (Portfolio Diversification, Maturity Limitations, Portfolio Mix, Portfolio Management)
  • Performance Reporting and Review
  • Record keeping and Safekeeping
  • Policy Considerations (Exception, Revision, Adoption)
  • List of sample Attachments (Approved Countries, Approved Brokers and Dealers, Bond Ratings)

 

Who will Use this Investment Policy?

State-owned entities, companies in the financial industry, pension funds, and to a lesser extent, individuals, are among those who use such a document. Students studying Investments will be happy to use this as a guide to learn about managing an investment portfolio.

 

More Useful Information on the Document

An Investment Policy is a written document formulated by an investor to effectively manage an investment portfolio.

A standard policy seeks primarily to diversify the portfolio into different categories of risk to achieve optimum returns. Specific objectives of any investor, as presented in our investment policy example, include safety, portfolio diversification, liquidity, and investment yields.

 

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Click here to download a free copy of the investment policy statement sample.

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