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Public Funds Investment Policy Compliance Checklist
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Confirms a government treasury's investment of public funds complies with a governing-body-adopted policy prioritizing safety, liquidity, and yield.
GFOA Investment Policy Best PracticeState Public Funds Investment Act
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Policy Adoption & Objectives
- Has the governing body formally adopted a written investment policy? *
- Does the policy rank objectives in the order of safety of principal, liquidity, then yield? *
- Is the investment policy reviewed and reaffirmed by the governing body at least annually? *
- Date investment policy last adopted or reaffirmed: *
Authorized Investments & Delegation
- Does the policy enumerate the specific investment instruments authorized under state law? *
- Is investment authority delegated to a named investment officer with defined responsibilities? *
- Are all current holdings limited to instruments permitted by both statute and policy? *
- Is a maximum stated maturity limit established to manage interest-rate risk? *
Collateralization & Custody
- Are deposits exceeding FDIC insurance secured by pledged collateral at the required margin? *
- Are securities held in the government's name by an independent third-party custodian under a written agreement? *
- Is delivery-versus-payment used for all securities transactions? *
- Is collateral marked to market at least monthly? *
Diversification & Reporting
- Does the policy set diversification limits by issuer, security type, and maturity? *
- Is a periodic investment report provided to the governing body showing holdings, market value, and earnings? *
- Are investment officers required to disclose material personal financial interests that could conflict with portfolio management? *
- Is portfolio performance measured against an appropriate benchmark? *
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