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TABLE OF CONTENTS <br />Page <br />Introduction...............................................................................................................................1 <br />1.0 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 Authorized Financial Institutions and Qualified Broker-Dealers..........................................8 <br />8.0 Authorized and Suitable Investments.........................................................................9 <br />9.0 <br />Prohibited Investments and Investment Practices.........................................................14 <br />10.0 <br />Investment Pools/Mutual Funds....................................................................................15 <br />11.0 <br />Collateral/Security for Deposit of Public Funds..............................................................16 <br />12.0 <br />Safekeeping and Custody.............................................................................................17 <br />13.0 <br />Diversification................................................................................................................17 <br />14.0 <br />Maximum Maturities......................................................................................................18 <br />15.0 <br />Internal Controls............................................................................................................18 <br />16.0 <br />Performance Standards................................................................................................19 <br />17.0 Reporting......................................................................................................................20 <br />18.0 Policy Considerations...................................................................................................21 <br />19.0 Policy Review, Certification, and Adoption....................................................................21 <br />20.0 Appendices and Glossaries...........................................................................................22 <br />Appendix I - (Table of Appendices) / California Investment Code Abstracts .................24 <br />Appendix 11 - Local Agency Investment Guidelines / Allowable Investment Guidelines ...i <br />Appendix III - Glossary of Common Public Local Agency Investment Terms ................ A <br />Appendix IV - Glossary of Common Public Local Agency Investment Terms ..................I <br />Appendix V — Broker/Dealer Questionnaire and Certification Form...............................M <br />City of Santa Annual Table of Contents <br />Statement of Investment Policy <br />July 1, 2020 - <br />June 30, 2021 <br />y <br />