Investor Relations SOP

This detailed SOP provides finance professionals with a structured framework for managing investor relations processes.
It includes:
- Step-by-Step Process Flow: Outlines essential subprocesses such as Investor Identification, Investor Engagement, and Investor Feedback Collection, with clear actions, decision points, and error-handling procedures to ensure effective relationship management with investors.
- Risk Management: Identifies key risks such as incomplete investor information, engagement misalignment, and negative feedback, with mitigation strategies to safeguard investor relations and enhance communication strategies.
- Compliance and Regulatory Requirements: Ensures adherence to data protection regulations like GDPR and, where applicable, FCA guidelines to protect investor data and ensure transparent and fair communication.
- Key Performance Indicators (KPIs) and Controls: Defines metrics such as investor identification efficiency, engagement success rates, and feedback satisfaction, with controls like structured engagement plans, data verification processes, and compliance reviews to monitor and improve performance.
- RACI Framework: Clearly defines roles and responsibilities for each task in the investor relations process, ensuring that the Investor Relations Manager, Research Analysts, Engagement Teams, and Feedback Coordinators are accountable and involved at each stage.
- Systems Requirements: Details the necessary systems, including an Investor Relations Management System (IRMS), market research tools, communication platforms, and feedback collection systems to support seamless management of investor interactions and ensure data security.
- Appendices: Provides practical resources such as checklists for investor identification, engagement templates, and feedback collection processes to ensure consistency and thoroughness in investor relations activities.