Investment Advisors' Investment Policy Statement (IPS) - Rules, Regulations, and Best Practices

MessageThis Webinar is over
Date Dec 5, 2017
Time 01:00pm ET
Cost $199.00
Online
OVERVIEW

The guidelines surrounding best practices for developing and maintaining the Investment Policy Statement (IPS) are not always clear.   The IPS is a key document between the client and their investment advisor, yet it is one that can be detrimental to the advisory firm if poorly written or managed.  It is a key document used by compliance, regulators and perhaps as evidence in the case of a lawsuit brought by a client.  It is worth the time and effort to design a well thought out IPS or even considers a revision to outdated IPS for existing clients.

WHY SHOULD YOU ATTEND

In order to meet the demands of the individual and institutional clients as well as meet all the required regulations, an IPS may provide the guidance needed. However, a badly constructed or insufficiently maintained IPS could lead to enforcement, lawsuits and over all poor client retention.

AREAS COVERED
  • Rules, Laws, Regulations and Best Practices around the Investment Policy Statement.
  • Analyzing the key components to be included in the firm’s template Investment Policy Statement.
  • The Operational Process of obtaining the IPS during the client on-boarding process
  • Ways to help ensure the IPS remains relevant to the client’s objectives.
  • Educating the client on the need for an IPS.
  • Suggestions on how the Compliance Team can perform testing of the IPS.
  • Development, Maintenance and testing of the IPS process.

LEARNING OBJECTIVES

In the session we will discuss the best practices for creating an initial Investment Policy Statement which should provide a better overall client experience and better work flow for the Financial Advisor and their key agents.  The webinar will provide useful tips for maintaining the policy as well as conducting the compliance testing and overall management of the document.

WHO WILL BENEFIT

This webinar will benefit the Portfolio Managers, Traders, Client Service Managers, Operations staff and the Compliance Professionals.

SPEAKER

Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services and customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Florida. Ms. Marsden has a degree in computer programming from Keiser University and holds the Investment Advisor Certified Compliance Professional Designation, and she is a CFA Investment Foundations Certificate Holder. Ms. Marsden is the 2017 President of the Financial Planners Association of South Florida.

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