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

Instructor: Lisa Marsden
Product ID: 704521
  • Duration: 60 Min

recorded version

1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section

Training CD

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(For multiple locations contact Customer Care)
CD and Ref. material will be shipped within 15 business days

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Fax: +1-650-963-2556


Read Frequently Asked Questions

This training program will analyze best practices for the investment policy statement (IPS), elements of the IPS, the significant areas of the firm that should be involved in the development of the IPS, creating and maintaining the IPS, and compliance testing of the IPS.

Why Should You Attend:

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.

This webinar will focus on why it is essential to design a well thought out IPS or even consider a revision to outdated IPS for existing clients.

Learning Objective:

  • Best practices surrounding the IPS
  • Elements of the IPS
  • The significant areas of the firm that should be involved in the development of the IPS
  • Creating the IPS
  • Maintaining the IPS
  • Compliance testing of the IPS

Areas Covered in the Webinar:

  • Rules, laws, regulations and best practices around the investment policy statement.
  • Analyzing the key components to be included in a 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.

Who Will Benefit:

  • Audit
  • Compliance Personnel
  • Risk Managers
  • Operations Managers
  • Chief Operating Officers
  • Attorneys
  • Investment Management/Portfolio Managers
  • Client Service Managers
  • IT
  • Accountants
  • Chief Operating Officers
  • Chief Executive Officers
  • Financial Planners

Instructor Profile:

Lisa M. Marsden, IACCP ®, is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services. Prior to that, Ms. Marsden was the Chief Operating Officer/Chief Compliance Officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate, issued through the CFA Institute. She was the Chief Compliance Officer/Chief Technology Officer at Steinberg Global Asset Management, Boca Raton Florida and also held positions in the Banking Trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management. Ms. Marsden currently serves on the Board of the Financial Planners Association of Greater Fort Lauderdale and leads groups consisting of extremely intelligent Financial Professionals in Compliance and Technology.

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