INVESTMENT FUND POLICY

Policy Document for a Startup Investment Fund

Fund Name: EPIQ INVESTMENT FUND

Effective Date: 01.12.2024

Last Updated: 05.07.2025

1. Introduction

This policy outlines the governance, operational guidelines, and risk management framework for, a startup investment fund focused on early-stage technology ventures, sustainable innovation. The policy ensures alignment with the fund’s mission, legal obligations, and investor expectations.

2. Governance Structure

2.1 Fund Management Team

General Partner (GP): Responsible for day-to-day operations, investment decisions, and investor relations.

Investment Committee (IC): Reviews and approves all investments.

Advisory Board: Provides sector-specific expertise and strategic guidance

2.2 Decision-Making Authority

Investments exceeding of the fund’s capital require unanimous IC approval.

Operational expenses above must be pre-approved by the GP.

3. Investment Policy

3.1 Investment Objectives

Prioritize startups with scalable models, strong founding teams, and clear paths to profitability or exit.

3.2 Eligibility Criteria

Stage: Pre-seed to Series A.

Geographies: United States of America.

Exclusions: Prohibited industries (Gambling , weapons).

3.3 Due Diligence Process

Screening: Evaluate pitch decks, market size, and founder track record.

Deep Dive: Analyze financials, cap tables, IP, and competitive landscape.

IC Approval: Final investment decision by the Investment Committee.

3.4 Portfolio Management

Ownership Stake: Target [5–20%] equity per startup.

Value-Add: Provide mentorship, introductions to customers/investors, and operational support.

4. Risk Management

4.1 Risk Mitigation Strategies

Diversification: No single investment > [10–15%] of fund capital.

Liquidity Reserves: Maintain [10–20%] of capital for follow-on rounds.

Anti-Concentration: Limit exposure to any single sector (<30% of portfolio).

4.2 Contingency Planning

Downside Scenarios: Define triggers for divestment (e.g., missed milestones, founder disputes).

Portfolio Support: Allocate resources to turnaround underperforming companies.

5. Compliance & Ethics

5.1 Regulatory Compliance

Adhere to [SEC/ESMA/FCA] regulations, including anti-money laundering (AML) and know-your-customer (KYC) requirements.

File annual reports and disclosures as mandated by jurisdiction.

5.2 Conflicts of Interest

Disclose all potential conflicts

Abstain from voting on deals involving conflicted parties.

5.3 Insider Trading

Enforce a blackout period for employees during sensitive transactions.

6. Investor Relations

6.1 Transparency & Reporting

Annual Meetings: Present strategic updates and answer LP questions.

Ad Hoc Disclosures: Notify investors of material events (e.g., fund extensions, major exits).

6.2 Capital Calls & Distributions

Distributions are made withinof liquidity events.

6.3 ESG Commitment

Integrate ESG criteria into due diligence

Report annually on ESG impact

7. Fund Operations

7.1 Fee Structure

Management Fee: [2%] annually on committed capital.

Carried Interest: [20%] of profits, subject to an [8%] hurdle rate.

Expenses: Operational costs (legal, audit, travel) are capped at [0.5%] annually.

7.2 Liquidity & Term

Fund Term: [7–10 years], with possible [1–2 year] extensions.

Lock-Up Period: No early redemptions permitted.

7.3 Recordkeeping

Maintain audited financial records for [7 years] post-fund termination.

Use secure, encrypted platforms for document storage

8. Confidentiality & Data Security

NDAs: Mandatory for employees, contractors, and partners.

Data Protection: Encrypt sensitive investor and portfolio data.

Breach Protocol: Report incidents to the Compliance Officer within [24 hours].

9. Amendment Process

Policy changes require approval by [75%] of the Investment Committee.

Investors must be notified of material amendments in writing.

10. Policy Acknowledgment

All employees, contractors, and advisors must sign an acknowledgment of this policy.

11. Contact Information

For questions or concerns, contact:

Email: support@epiqcg.pro

Confidentiality Notice:

This document is the property of EPIQ INVESTMENT FUND and contains proprietary information. Unauthorized distribution is prohibited.

This policy ensures disciplined execution of the fund’s strategy while safeguarding investor interests and fostering trust.