Questionnaire

Developing a robust investment plan, either internally or with outside help, can help you ensure your investments are delivering for you and also help you re-allocate resources toward more strategic efforts. If your organization is not sure where it stands in its investment program, the following self-assessment questionnaire is an excellent place to start. This is an anonymous self-assessment. Your results will not be shared.

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* 1. Is there someone responsible for supervising the day-to-day investment activities of your entity?

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* 2. Has that authority been officially delegated by your governing board annually, as required?

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* 3. How would you rate your oversight procedures?

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* 4. Do you know your agency’s investment policy statement (IPS)?

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* 5. Does your governing body review the IPS annually as required?

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* 6. Do you receive monthly or quarterly investment reports (including performance and yield information)?

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* 7. Does your governing body review regular investment reports?

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* 8. If your investments are managed by a third party, do the reports show a lot of transactions (purchases and sales)?

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* 9. If yes, do you know why the trading is so frequent given public entities are typically buy and hold investors?

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* 10. Do you know the yield or total return that your portfolio or individual investments are earning?

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* 11. Are your investments diversified or concentrated in just a few holdings?

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* 12. Are any of your bank holdings over the FDIC insurance limit?

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* 13. Do you know the creditworthiness of the financial institutions holding your deposits?

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* 14. Have you compared investment rates within the last 6 months?

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* 15. How comfortable are you that the investment portfolio is aligned appropriately with your cash flows?

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* 16. What metrics do you use to assess the creditworthiness and safety of your investments?

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* 17. Have you assessed the creditworthiness of your brokers or custodial banks annually?

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* 18. Do you invest with a broker, a bank and/or credit union, an investment manager, or all of the above?

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* 19. Have you performed other due diligence on your investment partners in the last three years?

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* 20. Do you know what fees you are paying, including hard dollar and/or fees netted out of the return?

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* 21. Does your investment partner provide additional services you need and / or present to your governing body on a

If you have answered No or Not Sure to multiple questions, we would be happy to help you evaluate your current investment effort and identify steps to moving forward. Please contact us for a free consultation today!

Amy Mitchell
amitchell@miles-capital.com
866.720.2995
www.miles-capital.com
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