Workflow Templates: Investment Monitoring Checklist

Confirm the investment policy is current and reflects the organization's objectives and constraints

Ensure compliance with legal and regulatory requirements

Review and assess the risk tolerance and investment horizon of the organization

Compare actual investment returns against benchmarks and performance goals

Analyze the performance of individual asset classes within the portfolio

Evaluate the cost-effectiveness of the investment strategy, including fees and expenses

Assess the diversification of the portfolio to ensure it aligns with the investment policy

Review the asset allocation and rebalance if necessary

Monitor for significant changes in the financial condition or management of investment holdings

Identify and assess any new risks to the portfolio

Review and update the organization's risk management strategies and controls

Ensure adequate liquidity to meet the organization's cash flow needs

Verify adherence to the investment mandates and restrictions

Prepare and review periodic investment reports for stakeholders

Document and file all investment transactions and decisions appropriately

Communicate performance and investment changes to the board and relevant committees

Update investors and stakeholders on adherence to the investment policy

Gather feedback from stakeholders to inform future investment decisions

Investment Monitoring Checklist