Finance FN36 - Investment Management - Compliance

Accessed:	2026-07-17
Purpose of series:	Records series documenting the management and compliance of Investment Management Agreements (IMA). This includes pension and endowment investments.
Scope and contents:	Includes (but not limited to) externally submitted investment management reports, compliance letters, reports submitted to the relevant university committees, correspondence, and related documentation.
Cross reference:	For Endowment and donor agreements see: Endowments (FN34); For Management of Endowments see: Endowments - Management (FN34). For Investment agreements see: Investment Management - Agreements (FN35); For execution of financial transactions relating to investments see - Investment Management (FN37) For related Investment Committee records see: Board of Governors and Committees (GV10)
Exceptions:

Primary offices:	Financial Services
Primary office retention trigger:	Fiscal Year
Primary office disposition:	Secure Destruction
Primary office retention period:	6 years
Primary office retention instructions:	Record closed after current fiscal year (FY). Retained for 6 additional years, then securely destroyed.

Secondary offices:	N/A
Secondary office retention trigger:
Secondary office disposition:
Secondary office retention period:
Secondary office retention instructions:

Retention rationale:

Expected operational use. Endowment Funds Investment Policy

Vital records	Electronic systems	Personal information	Official media
Yes	NAS	No	Paper, Electronic

Approval date:	Last updated:	Edited by:	Security classification:
2021-05-31	2021-08-30 10:32:01		Sensitive

Notes: