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Finance Procedures Manual Sections

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Finance Policies
and Procedures

Finance Administration Procedures
Capital Raising Procedures
Treasury Management Procedures
Financial Statements Procedures
Internal Controls Procedures

Customizable Finance Procedures

The Finance Policies and Procedures manual includes 36 prewritten financial policies and procedures templates. Most of these procedures have accompanying forms and records. All procedures are in easily editable Microsoft Word format so that you can easily customize them as per your needs.

Financial Control and Compliance

The finance procedures are based on standard best practice and form the structure of a strong internal control system to help compliance with financial regulations and/or practices like Sarbanes-Oxley, GAAP, PCAOB, SEC etc.

Organized into
Five Broad Finance Topics

The procedures and forms are organized into five common financial topics. Where applicable, each procedure is followed by one or more supporting forms.

Complete List of Finance Policies and Procedures:

Finance Administration Procedures

FA1000	Financial Objectives
1.0	Financial Objectives Plan
2.0	Creating Specific Financial Objectives
3.0	Balancing Financial Objectives
4.0	Approval and Monitoring of Financial Objectives
5.0	Improving Financial Objectives
Forms/Records
FA1000-1	Financial Objectives

FA1010	Management Responsibility
1.0	Management Commitment to the Financial Management System
2.0	Financial Policy
3.0	Planning
4.0	Responsibilities, Authority, and Communication
5.0	Management Review
Forms/Records
FA1010-1	Sample Management Review Agenda

FA1020	Continuity Planning
1.0	Continuity Planning
2.0	Implementing the Continuity Plan
3.0	Testing the Continuity Plan
4.0	Maintaining and Updating the Plan
Forms/Records
FA1020-1	Continuity Plan Worksheet

FA1030	Document Control
1.0	Procedure Format
2.0	Work Instructions
3.0	Forms
4.0	Document Approval
5.0	Temporary Document Changes
6.0	Document Revisions
7.0	External Documents
8.0	Document Distribution
Forms/Records
FA1030-1	Document Request
FA1030-2	Document Control Database

FA1040	Record Control
1.0	Identification of Records
2.0	Record Generation
3.0	Recordkeeping and Traceability
4.0	Record Retention and Long-Term Storage
5.0	Record Maintenance
Forms/Records
FA1040-1	Sample Master File Guide Index
FA1040-2	List of Finance Records
FA1040-3	Record Retention Guidelines

FA1050	Annual Stockholders' Meetings
1.0	Structure of Corporate Authority
2.0	Meeting Notification
3.0	Conduction Stockholders' Meetings
4.0	Stockholder Meeting Review
5.0	Stockholder Meeting Improvements
Forms/Records
FA1050-1	Notice of Shareholders' Meeting
FA1050-2	Authorization of Proxy to Vote Shares
FA1050-3	Minutes of Shareholders' Meeting

FA1060	Board of Directors' Meetings
1.0	Preparing for the Board of Directors' Meeting
2.0	Board Meeting Procedure
3.0	Board Meeting Process Review
4.0	Board Meeting Process Improvements
Forms/Records
FA1060-1	Minutes of Board of Directors' Meeting (Sample)

Procedures for Raising Capital

RC1000	Business Plan
1.0	Business Plan – Background
2.0	Developing the Business Plan
3.0	Reviewing and Finalizing the Business Plan
4.0	Monitoring the Business Plan
Forms/Records
RC1000-1	Business Plan

RC1010	Capital Plan
1.0	Capital Plan – Background
2.0	Preparing the Capital Plan
3.0	Monitoring the Capital Plan
4.0	Improving the Capital Plan
Forms/Records
RC1010-1	Capital Analysis
RC1010-2	Capital Plan Worksheet
RC1010-3	Capital Plan

RC1020	Valuation
1.0	Valuation Plan
2.0	Valuation
3.0	Valuation Review
4.0	Reaching Valuation Targets
Forms/Records
RC1020-1	Valuation Plan
RC1020-2	Valuation Improvement Plan
RC1020-3	Valuation History

RC1030	Bank Loans
1.0	Assessing Capital Requirements
2.0	Preparing the Loan Application
3.0	Applying for the Loan
4.0	Closing the Loan
5.0	Loan Servicing and Reporting
6.0	Loan Analysis
Forms/Records
RC1030-1	Loan Application Checklist

RC1040	Stock Offerings
1.0	Stock Offering Plan
2.0	Executing the Stock Offering
3.0	Reviewing the Stock Offering Process
4.0	Improving the Stock Offering Process
Forms/Records
RC1040-1	Stock Offering Plan

RC1050	Debt and Investment
1.0	Debt and Investment Plan
2.0	Debt and Investment Activities
3.0	Debt and Investment Review
4.0	Debt and Investment Plan Improvement
Forms/Records
RC1050-1	Debt and Investment Plan
RC1050-2	Debt and Investment Action Log

RC1060	Asset Acquisition
1.0	Asset Acquisition Planning
2.0	Asset Acquisition
3.0	Asset Acquisition Review
4.0	Improving the Asset Acquisition Process

Forms/Records
RC1060-1	Asset Acquisition Criteria
RC1060-2	Asset Acquisition Request/Worksheet

RC1070	Leasing
1.0	Leasing Plan
2.0	Leasing Evaluations
3.0	Reviewing Lease Evaluations
4.0	Improving the Lease Evaluation Process
Forms/Records
RC1070-1	Lease/Buy Financial Analysis

Treasury Management Procedures

TM1000	Working Capital
1.0	Working Capital Plan
2.0	Working Capital Performance
3.0	Reviewing the Working Capital Plan
4.0	Improving the Working Capital Plan
Forms/Records
TM1000-1	Working Capital Plan

TM1010	Cash Management
1.0	Cash Management Plan
2.0	Cash Management
3.0	Reviewing the Cash Management Plan
4.0	Improving the Cash Management Plan
Forms/Records
TM1010-1	Cash Management Plan

TM1020	Inventory Management
1.0	Inventory Management Overview
2.0	Inventory Management Planning
3.0	Inventory Management
4.0	Reviewing the Inventory Management Plan
5.0	Improving Inventory Management
Forms/Records
TM1020-1	Inventory Management Plan
TM1020-2	Inventory Management Results

TM1030	Related Party Transactions
1.0	Related Party Transactions Plan
2.0	Related Party Transactions
3.0	Related Party Transactions Plan Review
4.0	Improving the Related Party Transaction Plan
Forms/Records
TM1030-1	Related Party Transaction Policy & Conflict Of Interest Questionnaire
TM1030-2	Related Party Transaction Questionnaire Log

TM1040	Foreign Exchange Management
1.0	Foreign Exchange Management Plan
2.0	Foreign Exchange Management
3.0	Reviewing Foreign Exchange Management
4.0	Improving Foreign Exchange Management
Forms/Records
TM1040-1	Foreign Exchange Management Plan
TM1040-2	Foreign Exchange Management Results

TM1050	Managing Bank Relationships
1.0	Bank Relationship Plan
2.0	Managing Banking Relationships
3.0	Reviewing Banking Relationships
4.0	Improving Management of Bank Relationships
Forms/Records
TM1050-1	Banking Relationship Contact Management Log
TM1050-2	Bank Meeting Agenda/Minutes

TM1060	Merchant Accounts
1.0	Merchant Account Plan
2.0	Merchant Account Comparisons
3.0	Merchant Account Comparison Review
4.0	Merchant Account Improvements
Forms/Records
TM1060-1	Merchant Account Review

TM1070	Letters of Credit
1.0	Letter of Credit Plan
2.0	Executing a Letter of Credit as a Buyer
3.0	Executing a Letter of Credit as a Seller
4.0	Reviewing the Letter of Credit Process
5.0	Improving the Letter of Credit Process
Forms/Records
TM1070-1	Letter of Credit Checklist

Procedures for Financial Statements

FS1000	Financial Forecasting
1.0	Financial Forecasting Plan
2.0	Collecting Information for Financial Forecasts
3.0	Creating Financial Forecasts
4.0	Reviewing and Completing Financial Forecasts
5.0	Financial Re-Forecasting
6.0	Improving the Financial Forecasting Process
Forms/Records
FS1000-1	Financial Forecast Checklist

FS1010	Financial Reporting
1.0	Financial Statement Reporting Plan
2.0	Annual Report to Stockholders
3.0	Financial Statements for Business Operations
4.0	Additional Financial Statement Reporting
5.0	Public Company Quarterly Reporting
6.0	Public Company Annual Reporting
7.0	Improving the Financial Statement Reporting Process
Forms/Records
FS1010-1	Financial Report Checklist

FS1020	Financial Statement Analysis
1.0	Financial Statement Analysis Plan
2.0	Collect and Calculate Financial Data
3.0	Financial Statement Analysis and Reporting
4.0	Improving the Financial Statement Analysis Process
Forms/Records
FS1020-1	Financial Analysis Plan

FS1030	Financial Management Review
1.0	Financial Management Plan
2.0	Conducting Financial Management Meetings
3.0	Reviewing Financial Management
4.0	Improving Financial Management
Forms/Records
FS1030-1	Financial Management Plan
FS1030-2	Financial Management Meeting Agenda

FS1040	Financial Restatements
1.0	Financial Restatement Plan
2.0	Financial Restatements
3.0	Reviewing the Financial Restatement Process
4.0	Improving the Financial Restatement Process
Forms/Records
FS1040-1	Financial Restatement Checklist

FS1050	Financial Information Release
1.0	Financial Statement Release Plan
2.0	Financial Information Release
3.0	Financial Information Release Review
Forms/Records
FS1050-1	Financial Information Release Log
FS1050-2	Financial Information Request

Internal Control Procedures

AC1000	Sarbanes-Oxley Compliance
1.0	Sarbanes-Oxley Act of 2002 (Sox) – Background
2.0	SOX Audit Committee Plan
3.0	SOX Auditor Plan
4.0	Corporate Responsibility Plan
5.0	Internal Control System Plan
6.0	Completing the SOX Checklist
7.0	Improving SOX Compliance
Forms/Records
AC1000-1	Sarbanes-Oxley Compliance Checklist

AC1010	SAS 70 Compliance
1.0	SAS 70 Compliance Plan
2.0	Creating and Completing a SAS 70 Compliance Checklist
3.0	SAS 70 Compliance Checklist Review
4.0	SAS 70 Compliance Checklist Improvements
Forms/Records
AC1010-1	SAS 70 Compliance Checklist

AC1020	Risk Assessment
1.0	Form a Risk Management Committee
2.0	Identify Hazards/Threats
3.0	Identify Threat Impact and Likelihood
4.0	Determine Risk Levels
5.0	Rank Threats
6.0	Risk Assessment Review
Forms/Records
AC1020-1	Risk Assessment / Management Worksheet
AC1020-2	Sample Chart of Accounts
AC1020-3	Internal Control Checklist

AC1030	Risk Management
1.0	Developing a Risk Management System
2.0	Implementing the Risk Management System
3.0	Evaluating the Risk Management System
4.0	Adapting the Risk Management System

AC1040	External Auditing
1.0	External Audits – Background
2.0	Planning for an External Audit
3.0	Supporting the External Audit
4.0	Reviewing External Audit Results
5.0	External Audit Follow-Up
Forms/Records
AC1040-1	Corrective Action Plan

AC1050	Internal Auditing
1.0	Internal Audit Background
2.0	Internal Audit Planning
3.0	Conducting the Internal Audit
4.0	Internal Audit Reporting
5.0	Internal Audit Follow-Up
Forms/Records
AC1050-1	Audit Schedule
AC1050-2	Audit Plan
AC1050-3	Audit Checklist
AC1050-4	Audit Opinion
AC1050-5	Final Audit Report

AC1060	Corrective Action
1.0	Nonconformity Reports
2.0	Initiating Corrective Action
3.0	Investigating the Cause
4.0	Taking Corrective Action
5.0	Preventing Recurrence
6.0	Verification and Closure
Forms/Records
AC1060-1	Nonconformity Report
AC1060-2	Corrective Action Request
AC1060-3	Corrective Action Log