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Financial Policies & Procedures Manual
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Procedures Manual Sections:
Financial 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
Financial Objectives Procedure
- Financial Objectives Plan
- Creating Specific Financial Objectives
- Balancing Financial Objectives
- Approval and Monitoring of Financial Objectives
- Improving Financial Objectives
- Financial Objectives
Management Responsibility Procedure
- Management Commitment to the Financial Management System
- Financial Policy
- Planning
- Responsibilities, Authority, and Communication
- Management Review
- Sample Management Review Agenda
Continuity Planning Procedure
- Continuity Planning
- Implementing the Continuity Plan
- Testing the Continuity Plan
- Maintaining and Updating the Plan
- Continuity Plan Worksheet
Document Control Procedure
- Procedure Format
- Work Instructions
- Forms
- Document Approval
- Temporary Document Changes
- Document Revisions
- External Documents
- Document Distribution
- Document Request
- Document Control Database
Record Control Procedure
- Identification of Records
- Record Generation
- Recordkeeping and Traceability
- Record Retention and Long-Term Storage
- Record Maintenance
- Sample Master File Guide Index
- List of Finance Records
- Record Retention Guidelines
Annual Stockholders' Meetings Procedure
- Structure of Corporate Authority
- Meeting Notification
- Conduction Stockholders' Meetings
- Stockholder Meeting Review
- Stockholder Meeting Improvements
- Notice of Shareholders' Meeting
- Authorization of Proxy to Vote Shares
- Minutes of Shareholders' Meeting
Board of Directors' Meetings Procedure
- Preparing for the Board of Directors' Meeting
- Board Meeting Procedure
- Board Meeting Process Review
- Board Meeting Process Improvements
- Minutes of Board of Directors' Meeting (Sample)
Procedures for Raising Capital
Business Plan Procedure
- Business Plan – Background
- Developing the Business Plan
- Reviewing and Finalizing the Business Plan
- Monitoring the Business Plan
- Business Plan
Capital Plan Procedure
- Capital Plan – Background
- Preparing the Capital Plan
- Monitoring the Capital Plan
- Improving the Capital Plan
- Capital Analysis
- Capital Plan Worksheet
- Capital Plan
Valuation Procedure
- Valuation Plan
- Valuation
- Valuation Review
- Reaching Valuation Targets
- Valuation Plan
- Valuation Improvement Plan
- Valuation History
Bank Loans Procedure
- Assessing Capital Requirements
- Preparing the Loan Application
- Applying for the Loan
- Closing the Loan
- Loan Servicing and Reporting
- Loan Analysis
- Loan Application Checklist
Stock Offerings Procedure
- Stock Offering Plan
- Executing the Stock Offering
- Reviewing the Stock Offering Process
- Improving the Stock Offering Process
- Stock Offering Plan
- Debt and Investment Plan
- Debt and Investment Activities
- Debt and Investment Review
- Debt and Investment Plan Improvement
- Debt and Investment Plan
- Debt and Investment Action Log
Asset Acquisition Procedure
- Asset Acquisition Planning
- Asset Acquisition
- Asset Acquisition Review
- Improving the Asset Acquisition Process
- Asset Acquisition Criteria
- Asset Acquisition Request/Worksheet
Leasing Procedure
- Leasing Plan
- Leasing Evaluations
- Reviewing Lease Evaluations
- Improving the Lease Evaluation Process
- Lease/Buy Financial Analysis
Treasury Management Procedures
Working Capital Procedure
- Working Capital Plan
- Working Capital Performance
- Reviewing the Working Capital Plan
- Improving the Working Capital Plan
- Working Capital Plan
Cash Management Procedure
- Cash Management Plan
- Cash Management
- Reviewing the Cash Management Plan
- Improving the Cash Management Plan
- Cash Management Plan
Inventory Management Procedure
- Inventory Management Overview
- Inventory Management Planning
- Inventory Management
- Reviewing the Inventory Management Plan
- Improving Inventory Management
- Inventory Management Plan
- Inventory Management Results
Related Party Transactions Procedure
- Related Party Transactions Plan
- Related Party Transactions
- Related Party Transactions Plan Review
- Improving the Related Party Transaction Plan
- Related Party Transaction Policy & Conflict Of Interest Questionnaire
- Related Party Transaction Questionnaire Log
Foreign Exchange Management Procedure
- Foreign Exchange Management Plan
- Foreign Exchange Management
- Reviewing Foreign Exchange Management
- Improving Foreign Exchange Management
- Foreign Exchange Management Plan
- Foreign Exchange Management Results
Managing Bank Relationships Procedure
- Bank Relationship Plan
- Managing Banking Relationships
- Reviewing Banking Relationships
- Improving Management of Bank Relationships
- Banking Relationship Contact Management Log
- Bank Meeting Agenda/Minutes
Merchant Accounts Procedure
- Merchant Account Plan
- Merchant Account Comparisons
- Merchant Account Comparison Review
- Merchant Account Improvements
- Merchant Account Review
Letters of Credit Procedure
- Letter of Credit Plan
- Executing a Letter of Credit as a Buyer
- Executing a Letter of Credit as a Seller
- Reviewing the Letter of Credit Process
- Improving the Letter of Credit Process
- Letter of Credit Checklist
Financial Statements Procedures
Financial Forecasting Procedure
- Financial Forecasting Plan
- Collecting Information for Financial Forecasts
- Creating Financial Forecasts
- Reviewing and Completing Financial Forecasts
- Financial Re-Forecasting
- Improving the Financial Forecasting Process
- Financial Forecast Checklist
Financial Reporting Procedure
- Financial Statement Reporting Plan
- Annual Report to Stockholders
- Financial Statements for Business Operations
- Additional Financial Statement Reporting
- Public Company Quarterly Reporting
- Public Company Annual Reporting
- Improving the Financial Statement Reporting Process
- Financial Report Checklist
Financial Statement Analysis Procedure
- Financial Statement Analysis Plan
- Collect and Calculate Financial Data
- Financial Statement Analysis and Reporting
- Improving the Financial Statement Analysis Process
- Financial Analysis Plan
Financial Management Review Procedure
- Financial Management Plan
- Conducting Financial Management Meetings
- Reviewing Financial Management
- Improving Financial Management
- Financial Management Plan
- Financial Management Meeting Agenda
Financial Restatements Procedure
- Financial Restatement Plan
- Financial Restatements
- Reviewing the Financial Restatement Process
- Improving the Financial Restatement Process
- Financial Restatement Checklist
Financial Information Release Procedure
- Financial Statement Release Plan
- Financial Information Release
- Financial Information Release Review
- Financial Information Release Log
- Financial Information Request
Internal Control and Auditing Procedures
Sarbanes-Oxley Compliance Procedure
- Sarbanes-Oxley Act of 2002 (Sox) – Background
- SOX Audit Committee Plan
- SOX Auditor Plan
- Corporate Responsibility Plan
- Internal Control System Plan
- Completing the SOX Checklist
- Improving SOX Compliance
- Sarbanes-Oxley Compliance Checklist
SAS 70 Compliance Procedure
- SAS 70 Compliance Plan
- Creating and Completing a SAS 70 Compliance Checklist
- SAS 70 Compliance Checklist Review
- SAS 70 Compliance Checklist Improvements
- SAS 70 Compliance Checklist
Risk Assessment Procedure
- Form a Risk Management Committee
- Identify Hazards/Threats
- Identify Threat Impact and Likelihood
- Determine Risk Levels
- Rank Threats
- Risk Assessment Review
- Risk Assessment/Management Worksheet
- Sample Chart of Accounts
- Internal Control Checklist
Risk Management Procedure
- Developing a Risk Management System
- Implementing the Risk Management System
- Evaluating the Risk Management System
- Adapting the Risk Management System
External Auditing Procedure
- External Audits – Background
- Planning for an External Audit
- Supporting the External Audit
- Reviewing External Audit Results
- External Audit Follow-Up
- Corrective Action Plan
Internal Auditing Procedure
- Internal Audit Background
- Internal Audit Planning
- Conducting the Internal Audit
- Internal Audit Reporting
- Internal Audit Follow-Up
- Audit Schedule
- Audit Plan
- Audit Checklist
- Audit Opinion
- Final Audit Report
Corrective Action Procedure
- Nonconformity Reports
- Initiating Corrective Action
- Investigating the Cause
- Taking Corrective Action
- Preventing Recurrence
- Verification and Closure
- Nonconformity Report
- Corrective Action Request Corrective Action Log
Next section in the Finance Procedures Manual: Business Management Guide
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