Governance & Risk Management

As part of its bank heritage, Northleaf has developed and maintains coordinated monitoring, audit and risk processes that ensure investments are accurately tracked and appropriately valued. Northleaf is also registered with securities regulators in Canada, the US and the United Kingdom.

 

Ongoing monitoring of investments

  • Quarterly reports/annual meetings
  • Portfolio reviews with managers and lead investors
  • Periodic financial/operating reviews of portfolio companies

Quarterly portfolio reviews

  • Full team review of quantitative/qualitative portfolio including valuations, distributions, individual holdings, risks, potential conflict of interests and organization (including changes to management team, strategy, auditors, etc.)

Quarterly risk reviews

  • Comprehensive review of risks, including strategic risk, credit risk, market risk, liquidity risk, regulatory risk and reputational risk

Annual audit and risk reviews

  • All funds are subject to internal audits annually
  • Independent inspection/audit review
  • Ongoing review of risk management policies and procedures