General Policies
Compliance
FINMA Documentation
Operational Procedures
Venture Operations
Venture Evaluation Process
- Opportunity evaluation and screening procedures
- Technical and market due diligence methodology
- Venture review and approval process
- Project monitoring protocols
- Performance tracking systems
Project Management
- Regular project reviews
- Rebalancing procedures
- Risk assessment protocols
- Performance reporting
- Stakeholder communications
Client Onboarding
KYC Procedures
- Identity verification process
- Documentation requirements
- Risk assessment protocols
- Approval workflows
- Ongoing monitoring procedures
Compliance Operations
Daily Procedures
- Transaction monitoring
- Compliance checks
- Regulatory reporting
- Document management
- Audit trail maintenance
Risk Management
Risk Assessment
- Regular risk reviews
- Market analysis
- Portfolio stress testing
- Risk mitigation strategies
- Incident response procedures
Technology Operations
Systems Management
- Access control procedures
- Data backup protocols
- Security monitoring
- System maintenance
- Disaster recovery procedures
Financial Operations
Financial Procedures
- Transaction processing
- Reconciliation procedures
- Financial reporting
- Audit preparation
- Budget management
Communication Protocols
Stakeholder Communications
- Partner reporting procedures
- Regulatory communications
- Internal communication protocols
- Crisis communication plans
- Public relations procedures
Quality Assurance
Quality Control
- Process review procedures
- Performance monitoring
- Error tracking and resolution
- Continuous improvement protocols
- Staff training programs
Documentation Management
Document Control
- Document retention policies
- Version control procedures
- Access management
- Security protocols
- Archival procedures
Last updated: 3/10/2026