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TABLE OF CONTENTS <br />Page <br />Introduction...............................................................................................................................1 <br />1.0 <br />Policy..............................................................................................................................1 <br />2.0 <br />Scope.............................................................................................................................1 <br />3.0 <br />Prudence.........................................................................................................................2 <br />4.0 <br />Objectives........................................................................................................................3 <br />5.0 <br />Delegation of Authority....................................................................................................6 <br />6.0 <br />Ethics and Conflicts of Interest........................................................................................7 <br />7.0 <br />Authorized Financial Institutions and Qualified Broker-Dealers..........................................7 <br />8.0 <br />Authorized and Suitable Investments.....................................................................8 <br />9.0 <br />Prohibited Investments and Investment Practices.........................................................13 <br />10.0 <br />Investment Pools/Mutual Funds....................................................................................14 <br />11.0 <br />Collateral/Security for Deposit of Public Funds..............................................................16 <br />12.0 <br />Safekeeping and Custody.............................................................................................16 <br />13.0 <br />Diversification................................................................................................................16 <br />14.0 <br />Maximum Maturities......................................................................................................17 <br />15.0 <br />Internal Controls............................................................................................................18 <br />16.0 <br />Performance Standards................................................................................................19 <br />17.0 <br />Reporting......................................................................................................................19 <br />18.0 <br />Policy Consideration.....................................................................................................20 <br />19.0 <br />Policy Review, Certification, and Adoption....................................................................21 <br />20.0 <br />Appendices and Glossaries............................................................................................22 <br />Appendix I - (Table of Contents) / California Investment Code Abstracts ......................22 <br />Appendix II - Local Agency Investment Guidelines / Allowable Investment Guidelines ...i <br />Appendix III — Glossary of Referenced Terms — City of Santa Ana Investment Policy <br />& Related California Codes...................................................................... A <br />Appendix IV — Glossary of Additional Common Public Local Agency Investment Terms..l <br />City of Santa - Annual July 1, 2018 - <br />Statement of Investment Policy Tab991,Q-tra June 30, 2019 <br />