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Finance Policies, Procedures and Forms

financial-policies-procedures-small.jpg Untitled Document

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.

Introduction to General Financial Process

This section provides an introduction and overview of the general financial processes.
The Finance field is broad, complex, and dynamic, so that no document can claim to be absolute in capturing every possible issue, policy, or procedure and remain current.  The concepts discussed in this manual cover the common, basic elements of a Financial Management System.

Table of Contents of the Finance Introduction Section

Contributors

An Introduction to Financial Processes and Procedures
-The Balanced Scorecard

Finance and Regulatory Basics
-Securities Legislation of the 1930's
-The Sarbanes-Oxley Act

Finance and Internal Control
-COSO and Internal Control
-Why Internal Control?
-A Control System that Focuses on Improvement and Success
-The Plan-Do-Check-Act Approach to Well-Defined Processes
-An Internal Control System Can Drive Improvement
-A Disciplined Approach

Understanding Key Financial Processes
-Capital Needs Analysis
-Operating Cash Flow or EBITDA
-Making Investment Decisions
-Return on Invested Capital (ROIC)
-Cost of Capital
-Managing Working Capital
-Accounts Payable
-Accounts Receivable
-Inventory Management

Other Financial Processes
-Financial Statements
-Administration and Auditing

Using the Bizmanualz Finance Manual

Finance Glossary

Finance Procedures Manual Preparation  

In order for your Finance Procedures Manual to be effective, it is vital that you write it clearly and make it easily understood by all Finance employees in your organization, in particular, and by key non-financial personnel, in general.  Top Management and your Advisory Board (or Board of Directors) must be aware of what Finance is doing, as sound business practice – and, sometimes, the law – dictates. 

The primary objective is to provide an effective financial management system (FMS) for your organization – another way of stating this is “to provide effective internal controls and thereby ensure compliance” with the growing list of standards and regulations.  A Finance Manual may be considered evidence of a system of effective financial controls.

This "Manual Preparation" section provides an introduction and guidelines for you to produce your Company’s own Finance Manual.

Finance Procedures Manual Preparation Table of Contents

Introduction
Installation Instructions

-Editing Files
-Word Processing (Text) Files
-File Properties And Style Formats
-Printing Files
-Technical Support

Your CFO Manual
-
CFO Manual Style and Format
-To Consider When Writing Your Manual
-Revisions
-Other Publications
-Sources of Additional Information

Effective Communication
-Communication and Addressing Your Audience
-Sexism in Writing
-Number Usage
-Organizing Your Thoughts
-Outlining Technique
-Defining the Format and Organization of Your Manual
-Design Features
-Style and Mechanics
-Sources of Additional Information

Finance Procedures
-
Format
-Heading Information
-Introduction
-Body Of The Procedure Statement
-Attachments
-Authorization
-Production and Distribution
-Revising and Updating Policies/Procedure

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
 
Included Financial Forms and Records

The Finance Policies and Procedures Manual contains 58 forms and records to accompany the 36 policies and procedures.

Each form/record is intended to facilitate execution of the associated policy and procedure by providing a structure for recording information or organizing data. Below is the list:

    FA1000-1: Financial Objectives
    FA1010-1: Sample Management Review Agenda
    FA1020-1: Continuity Plan Worksheet
    FA1030-1: Document Request
    FA1030-2: Document Control Database
    FA1040-1: Sample Master File Guide Index
    FA1040-2: List of Finance Records
    FA1040-3: Record Retention Guidelines
    FA1050-1: Notice of Shareholders' Meeting
    FA1050-2: Authorization of Proxy to Vote Shares
    FA1050-3: Minutes of Shareholders' Meeting
    FA1060-1: Minutes of Board of Directors' Meeting (Sample)
    RC1000-1: Business Plan
    RC1010-1: Capital Analysis
    RC1010-2: Capital Plan Worksheet
    RC1010-3: Capital Plan
    RC1020-1: Valuation Plan
    RC1020-2: Valuation Improvement Plan
    RC1020-3: Valuation History
    RC1030-1: Loan Application Checklist
    RC1040-1: Stock Offering Plan
    RC1050-1: Debt and Investment Plan
    RC1050-2: Debt and Investment Action Log
    RC1070-1: Lease/Buy Financial Analysis
    TM1000-1: Working Capital Plan
    TM1010-1: Cash Management Plan
    TM1020-1: Inventory Management Plan
    TM1020-2: Inventory Management Results
    TM1030-1: Related Party Transaction Policy & Conflict Of Interest Questionnaire
    TM1030-2: Related Party Transaction Questionnaire Log
    TM1040-1: Foreign Exchange Management Plan
    TM1040-2: Foreign Exchange Management Results
    TM1050-1: Banking Relationship Contact Management Log
    TM1050-2: Bank Meeting Agenda/Minutes
    TM1060-1: Merchant Account Review
    TM1070-1: Letter of Credit Checklist
    FS1000-1: Financial Forecast Checklist
    FS1010-1: Financial Report Checklist
    FS1020-1: Financial Analysis Plan
    FS1030-1: Financial Management Plan
    FS1030-2: Financial Management Meeting Agenda
    FS1040-1: Financial Restatement Checklist
    FS1050-1: Financial Information Release Log
    FS1050-2: Financial Information Request
    AC1000-1: Sarbanes-Oxley Compliance Checklist
    AC1010-1: SAS 70 Compliance Checklist
    AC1020-1: Risk Assessment / Management Worksheet
    AC1020-2: Sample Chart of Accounts
    AC1020-3: Internal Control Checklist
    AC1040-1: Corrective Action Plan
    AC1050-1: Audit Schedule
    AC1050-2: Audit Plan
    AC1050-3: Audit Checklist
    AC1050-4: Audit Opinion
    AC1050-5: Final Audit Report
    AC1060-1: Nonconformity Report
    AC1060-2: Corrective Action Request
    AC1060-3: Corrective Action Log
Careful planning is fundamental to success.  This Small Business Planner from the Small Business Administration includes information and resources that will help you at every stage of the business lifecycle.

The Small Business Management Guide covers topics like business planning, starting the business, managing it and pointers for exiting your business.

Small Business Planner Table of Contents

Plan Your Business
Get Ready
Write a Business Plan
Start Your Business
Find a Mentor
Finance Start-Up
Buy a Business
Buy a Franchise
Name Your Business
Choose a Structure
Protect Your Ideas
Get Licenses and Permits
Pick a Location
Lease Equipment
Manage Your Business
Lead
Make Decisions
Manage Employees
Market and Price
Market and Sell
Understand Fair Practice
Pay Taxes
Get Insurance
Handle Legal Concerns
Forecast
Advocate and Stay Informed
Use Technology
Finance Growth
Getting Out
Plan Your Exit
Sell Your Business
Transfer Ownership
Liquidate Assets
File Bankruptcy
Close Officially
SBA Disclaimer of Endorsement
SBA Disclaimer of Liability
The Finance Policies and Procedures Manual includes a sample CFO Manual covering common requirements and best practices for financial operations.
The sample CFO Manual is intended only to provide an example of wording that might be used in a Financial Manual of this type.
This wording in the sample CFO manual can be helpful in generating ideas for developing a financial policy manual for your own company.  However, finance policies should be drafted as appropriate and necessary to accurately reflect your company’s internal financial policies and standards.

 


CFO Manual Table of Contents

Purpose
Scope
Responsibility
Exclusions
Accounting
Payroll
Information Systems
Security Planning
Disaster Recovery
Management Responsibility
Finance Organization
Finance Department Organization Chart
Chief Financial Officer Responsibilities
Treasury Responsibilities
Controller Responsibilities
Management Commitment
Finance Policy
Planning
Finance Objectives
Financial System Planning
Referenced Procedures
Responsibility, Authority, and Communication
Responsibility and Authority
Management Representative
Internal communication
Referenced Procedures
Management Reporting
General
Review input
Review output
Referenced Procedures
Business conduct
Related Party Disclosure
Referenced Procedures
Financial Management System
Objectives
Requirements
Overview
Internal Controls
Audit Opinions
Referenced Procedures
Transactions
Authorization
Timing
Amounts
Accuracy
Documentation
Finance Manual
Control of Documents
Control of Records
Referenced Procedures
Security
Continuity
Physical Security
Disaster Security
Information Security
Referenced Procedures
Processes and Controls
Administrative
Financial Objectives
Management Responsibility
Continuity Planning
Document Control
Record Control
Annual Stockholders' Meetings
Board of Directors Meetings
Referenced Procedures
Raising Capital
Business Plan
Capital Plan
Valuation
Bank Loans
Stock Offerings
Debt and Investment
Asset Acquisition
Leasing
Referenced Procedures
Treasury Management
Working Capital
Cash Management
Inventory Management
Related Party Transactions
Foreign Exchange Management
Managing Banking Relationships
Merchant Accounts
Letters of Credit
Referenced Procedures
Financial Statements
Financial Forecasting
Financial Reporting
Financial Statement Analysis
Financial Management Review
Financial Restatements
Release of Financial Information
Referenced Procedures
Internal Controls
Sarbanes-Oxley Compliance
SAS 70 Compliance
Risk Assessment
Risk Management
External Auditing
Internal Auditing
Corrective Action
Referenced Procedures
Resource Management
Provision of Resources
Human Resources
Finance Staff
Competence, Awareness, and Training
Separation and Supervision of Duties
References
Infrastructure
Work Environment
CFO Manual - Revision History

The Finance Policies and Procedures Manual is designed to help businesses of all kinds to take control of their financial process through consistently implementing best practices. The resulting financial controls can then be measured and evaluated for compliance with financial regulations. CFOs, Controllers and Treasury Officers can use this manual to improve internal controls and financial compliance.

Financial Procedures for Compliance

Policies and procedures are listed as key control activities in the COSO publication "Internal Control - Integrated Framework." Both the Securities and Exchange Commission (SEC) and the Public Company Accounting Oversight Board (PCAOB) point to this COSO document as an example of internal controls that meets the requirements for compliance with Sarbanes-Oxley requirements.

Save Time Writing Policies and Procedures for Financial Compliance

Take advantage of prewritten financial policies and procedures to quickly develop a financial control system to improve your financial processes and drive your financial performance upward. The Finance Procedures Manual can save you hundreds of hours in researching, compiling, and writing policies and procedures for financial compliance.

Strengthen Financial Compliance and Improve your Processes

With Sarbanes-Oxley and other financial regulations, the main goal of internal control is compliance. However, putting an internal control system also presents an added benefit. It can also promote continuous improvement by setting objectives, measuring performance and adjusting to achieve stated goals.

Well-Defined Financial Policies and Procedures

Research shows that a majority of small and medium sized businesses do not create capital plans, do not actively manage working capital, and do not conduct analysis of financial statements. The Finance Policies and Procedures Manual applies our experience in business and process improvement tools to the important area of business finance.
The manual includes 36 financial procedures, with corresponding policies and financial forms, divided by five major topics:

-Finance Administration
-Raising Capital
-Treasury Management
-Financial Statements
-Auditing & Internal Control

In addition, the Finance Procedures Manual also includes a Chief Financial Officer's Manual and a Business Management Guide. Other sections include an Introduction to Finance and Finance Manual Preparation. Use the Finance Policy, Procedure, and Forms Manual to fulfill your financial compliance requirements by establishing financial controls and, at the same time, strengthen and improve your financial processes for enhanced performance.

If you're not completely satisfied then return it within 48 hours for a full refund. How can you lose? You will receive 650 sample pages in 50 MS-WORD documents. Order the Finance Policies and Procedures Manual today.

P.S. Still not convinced? Click This FREE SAMPLE is in Adobe PDF and can be saved and printed.

 

Finance Policies, Procedures and Forms

SKU ABR42M

$495.00

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