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- How to Audit the investment management.
- How to Audit each of the following with high quality, what exactly do I need to do as an auditor:
1- Portfolio Management policies and procedures for adequacy / appropriateness and their compliance on sampling basis
• How to do it - who will do it –- if they are not there we use other ways to get the information.
2- Divisional structure including reporting lines and job descriptions of key designations;
• This scope from Government side.
• How the investment managed control, the evidence - who was the reporter for the department and the job description.
3- Authority matrix related to Portfolio Management; Adequacy of Resources, their competence and infrastructure for investment management;
• who is the decision makers
4- Investment schedules and performance reports for existing portfolio;
• The way the investment managed - time of the investment.
5- Investments’ performance, return on investments and related matters for quoted and un-quoted investments;
• How it is budgeted, what is it- what is the return you got.
6- Comparison of the actual performance of investments with budgeted performance and development of analytical reports;
7- Process of re-valuation of investments on periodic basis;
• How it will be reported; in a monthly basis, quarterly semi…. Etc.
8- Monitoring of compliance and legal matters associated in the investments;
• How it was reported, by whom and why.
9- Existence and adequacy of clearly defined Exit / Disinvestment Strategies;
• How to prepare your self- what are the actions you take- what the strategy you have.
10- Document management, retention and their disposal;
• How supportive are the documents – contracts -
11- Custody of investment title deeds;
• Who is the responsible to review it- how often has to be reviewed- reporting that to the top management
12- Investment performance reports and appraisals by senior management
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