Investment Oversight Committee

Ensuring disciplined, transparent and accountable investment governance

The Investment Oversight Committee (IOC) is Crossing Point Investment Management’s objective governance body responsible for overseeing the integrity, consistency and effectiveness of our investment process. Its role is to ensure that every portfolio we manage is operated in line with our stated objectives, our risk framework and the standards expected of a modern discretionary investment manager.

The Committee is chaired by Robert Vaudry, Head of Strategy at Crossing Point, who brings extensive experience in investment management, oversight and regulatory governance.

Purpose of the IOC

The IOC provides structured, independent challenge across all areas of our investment activity. Its core responsibilities include:

Monitoring investment performance

Reviewing performance against benchmarks, peer groups and stated objectives.

Risk and outcome assessment

Monitoring volatility, drawdown, risk‑adjusted returns and consistency of outcomes across client types.

Cost and value monitoring

Ensuring portfolios remain cost‑effective and aligned with Consumer Duty expectations.

Oversight of the investment process

Ensuring all portfolio decisions follow our documented, rules‑based methodology.

Operational oversight

Reviewing rebalancing quality, execution efficiency, cash management and platform mapping accuracy.

Regulatory alignment

Providing assurance that our investment approach remains consistent with PROD, Consumer Duty and Crossing Point’s internal governance standards.

Committee Membership

The IOC brings together senior individuals from across the business to ensure broad oversight and challenge:

Chair of IOC

Robert Vaudry

Head of Strategy

Catherine Roberts

Head of Operations

Chris Davies

Executive Director

This blend of investment, operational and adviser‑facing experience ensures the Committee considers both technical and practical implications of investment decisions.

How the IOC Operates

To demonstrate best‑practice governance, the IOC follows a clear and transparent framework:

1.

Meetings follow a structured agenda and decision log

Public meeting summaries are available online, for visibility.

2.

Independent challenge

The Chair provides objective scrutiny of the investment process and outcomes.

3.

Escalation to the Crossing Point Board

Any material issues or required changes are escalated to the Board of Crossing Point.

4.

Evidence‑based decision making

All oversight activity is supported by data, analysis and documented rationale.

5.

Clear separation of duties

The Investment Committee manages day‑to‑day portfolio decisions, while the IOC provides objective oversight of those decisions and the resulting outcomes.

Our Commitment to Best Practice

The Investment Oversight Committee is central to Crossing Point’s commitment to transparent, disciplined and accountable investment management. It ensures: