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


Instructor: Lisa Marsden
Product ID: 704521

  • Duration: 60 Min
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.
Last Recorded Date: Aug-2016


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

1 USB is for usage in one location only. info CD/USB and Ref. material will be shipped within 15 business days
(For multiple locations contact Customer Care)



Customer Care

Fax: +1-650-362-2367

Email: [email protected]

Read Frequently Asked Questions

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This webinar will focus on why it is essential to design a well thought out IPS or even consider a revision to outdated IPS for existing clients.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

Follow us :



Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange. Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter. We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email [email protected] call +1-888-717-2436 (Toll Free).




6201 America Center Drive Suite 240, San Jose, CA 95002, USA

Follow Us

facebook twitter linkedin youtube


Copyright © 2021 MetricStream
Our Policies: Terms of use | Privacy

PAYMENT METHOD: 100% Secure Transaction

payment method