Finance & Insurance Templates
Banks, insurance carriers, brokers, fintech, wealth management.
Instant downloads • Fully editable • Export to Word, Excel or PDF
17 templates
Includes Accounting Firm Business Plan, Anti Money Laundering Policy, Bond Agreement and 14 more.
At a glance
What it is
Finance and insurance operators — from boutique wealth managers to insurance carriers and fintech lenders — routinely need documents that govern capital, formalize advisory relationships, and satisfy compliance requirements. This filter surfaces the templates most frequently reached for by businesses that move, manage, or insure money.
When you need one
You need templates from this filter when you are structuring an investment, onboarding a capital provider, responding to a regulatory audit, or documenting internal financial controls. Any time money changes hands or fiduciary responsibility is being defined, a written template from this slice keeps the arrangement clear and defensible.
Popular Finance & Insurance Templates
Which template fits your situation?
The right template depends on which side of the transaction you are on and what you are formalizing — a capital commitment, a compliance obligation, an advisory mandate, or a fundraising request.
How finance & insurance operators get the most from these templates
The templates in this filter cover a broad range of scenarios — from a first funding request to an established firm's compliance program — so a structured approach helps you identify and deploy the right documents quickly.
Map your current business activity to a transaction type
Identify whether you are currently raising capital, managing assets, lending, insuring, or building internal controls, then navigate the relevant template group.
Download and review the corresponding compliance baseline
Start with policy templates — AML, data management, accounting procedures — before drafting client-facing agreements, since regulators expect internal controls to precede external activity.
Adapt the parties, amounts, and mandate details
Replace all placeholder fields with the specific names, license numbers, dollar figures, and jurisdictions that apply to your transaction.
Layer in investment strategy and planning documents
Pair an Investment Agreement or Investment Advisory Agreement with a supporting Investment Policy Statement or Investment Portfolio Strategy so all parties share the same written mandate.
Prepare fundraising documents as a package
Combine a Term Sheet, Funding Request Letter, and Letter of Request for an Equity Investment into a single outreach package for prospective capital providers.
Have legal counsel review jurisdiction-specific provisions
Financial services documents interact with securities law, consumer protection rules, and prudential regulations that vary by jurisdiction — a lawyer's review before signing protects all parties.
File and version-control executed agreements
Store signed copies in a secure, organized system and set calendar reminders for renewal or review dates noted in the agreement.
Glossary
- investment advisory agreement
- A contract between a registered investment advisor and a client that defines the advisor's mandate, fee structure, and standard of care.
- investment policy statement (IPS)
- A written document that records a portfolio's objectives, risk tolerance, asset allocation guidelines, and performance benchmarks.
- anti-money laundering (AML) policy
- An internal compliance document that describes how a firm identifies, monitors, and reports suspicious financial activity as required by law.
- term sheet
- A non-binding summary of the key economic and governance terms proposed for an investment round, used to align parties before a formal agreement is drafted.
- financing agreement
- A legally binding contract between a lender and borrower that specifies loan amount, interest rate, repayment terms, and default provisions.
- equity subscription agreement
- A contract by which an investor agrees to purchase a specified number of shares in a company at an agreed price and on agreed conditions.
- capital budgeting
- The process of evaluating and prioritizing long-term investments or expenditures relative to expected returns and available capital.
- fiduciary duty
- A legal obligation requiring a financial professional to act in the best interests of the client rather than their own interests.
- KYC (know your customer)
- The regulatory process by which financial firms verify the identity and risk profile of clients before opening accounts or executing transactions.
- preferred shares
- A class of equity that carries priority rights over common shares for dividends or liquidation proceeds, commonly used in venture financing rounds.
- discretionary management
- An investment mandate that gives a portfolio manager authority to make buy and sell decisions without seeking client approval for each transaction.
- data retention policy
- An internal policy that specifies how long different categories of financial and client records must be kept and how they must be disposed of securely.
Finance & Insurance Templates by department
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Frequently asked questions
What finance & insurance templates are available?
17 finance & insurance templates, including Accounting Firm Business Plan, Anti Money Laundering Policy, Bond Agreement, Consumer Credit Application, Credit Repair Agreement.
What types of templates does the finance and insurance filter include?
This filter includes investment agreements, financing contracts, funding request documents, advisory and management mandates, capital planning tools, and compliance policies specific to financial services operators. It spans both client-facing agreements and internal governance documents. Templates range from a short financing agreement to a full investment policy statement suitable for an institutional portfolio.
Do I need a lawyer to use these finance and insurance templates?
Many documents in this filter can be customized and used directly for straightforward transactions, but financial services agreements often interact with securities regulation, consumer credit law, and fiduciary standards that vary significantly by jurisdiction. For any agreement that creates ongoing obligations or governs third-party money, having qualified legal or compliance counsel review the final version before signing is advisable.
Which template should an investment advisor use to onboard a new client?
The Investment Advisory Agreement (D13989) is the primary onboarding document — it defines the scope of advice, fee structure, and liability limits. Pair it with an Investment Policy Statement (D12883) to document the client's objectives and risk tolerance, and a Data Management Policy (D13953) to cover how client information will be handled.
What is the difference between an Investment Agreement and an Investment Management Agreement?
An Investment Agreement (D12831) is a one-time instrument that documents a specific capital contribution — typically equity into a company. An Investment Management Agreement (D13990) is an ongoing mandate that grants a manager discretionary or advisory authority over a portfolio. Use the former when closing an equity round; use the latter when a firm is assuming ongoing responsibility for client assets.
Which documents should a fintech startup prepare before approaching venture capital investors?
Before investor meetings, prepare a Term Sheet for Series A Round of Financing (D472), a Letter of Request for an Equity Investment (D471), an Investment Proposal (D13992), and a Capital Budgeting document (D12616) to demonstrate financial discipline. A Share Subscription Agreement Venture Capital (D344) will be needed once terms are agreed.
What compliance policies do financial services firms typically need to have in writing?
At a minimum, most financial services regulators expect firms to maintain an Anti Money Laundering Policy (D13481), Accounting Policies and Procedures (D12681), a Data Management Policy (D13953), and a Data Retention Policy (D13955). Firms that manage client assets should also maintain a written Investment Policy Statement and, where applicable, a Backup Policy for critical financial records.
Can insurance brokers and carriers use these templates?
Yes. While several templates are framed around investment and lending, core documents — financing agreements, compliance policies, funding request letters, and advisory mandates — apply equally to insurance intermediaries and carriers managing capital reserves, premium financing, or reinsurance arrangements. Customize the recitals and defined terms to reflect insurance-specific relationships.
How do I use the Funding Request Form and Funding Request Letter together?
The Funding Request Form (D13696) is a structured intake document that captures financial data a lender or investor needs to evaluate an application — revenue figures, use of funds, collateral. The Funding Request Letter (D13697) is the narrative cover letter that frames the request and directs the reader to the form. Submit them together for a professional, complete capital request package.
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How our templates are made
Every template is written by the Business in a Box editorial team and published by Bruno Goulet, CEO & Editor-in-Chief. Business in a Box has published business and legal templates for more than 20 years. Each document page explains what the template covers and how to fill it in; for legal documents, have a qualified professional review the final version when the stakes warrant it.
