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Capital Raising and Investor Relations Policy
A professionally drafted Capital Raising and Investor Relations Policy for banks, deposit-taking institutions and finance companies, covering capital adequacy, planning and management. Global edition — written to international standards (Basel Committee, FATF, ISO, COSO, NIST and FSB) and deliberately jurisdiction-neutral, with bracketed prompts marking the points where your local law or regulator's requirements must be inserted. Supplied as a fully editable Microsoft Word document, de-identified and ready to adapt to your organisation. Typical owner: Chief Financial Officer; approval: Board of Directors.
| Typical owner | Chief Financial Officer |
|---|---|
| Typical approval | Board of Directors |
| Length | ~8,347 words (approx. 21 pages) |
| Last reviewed | July 2026 — verify currency for your circumstances before use |
| Format | Microsoft Word (.docx), fully editable |
| Delivery | Instant download after purchase; re-download any time from your account |
| Licence | Single-organisation licence |
| Guarantee | Materially defective or misdescribed? We'll resupply, replace or refund within 30 days — see Terms |
Preview the first 6 pages (PDF) See the real cover, document control page and opening sections before you buy.
What's inside
- Contents
- 1. Purpose
- 2. Scope
- 3. Definitions
- 4. Regulatory Framework
- 5. Policy Statement and Principles
- 6. Capital Instruments and Prudential Requirements
- 7. Capital Raising Governance and Approval Pathway
- 8. Securities Law Compliance and Offer Documentation
- 9. Material Information and Fair Disclosure Protocols
- 10. Investor Communications Standards
- 11. Inside Information Handling and Dealing Restrictions
- 12. Investor Onboarding, AML/CFT, Sanctions and Confidentiality
- 13. Regulator Notifications and Engagement
- 14. Roles and Responsibilities
- 15. Reporting and Escalation
- 16. Breaches of this Policy
- 17. Training and Awareness
- 18. Review of this Policy
- Appendix A: Capital Raising Approval and Execution Checklist
- Appendix B: Investor Interaction Record Template
- Policy Administration