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

    View: 125

    Website https://tinyurl.com/yc5xq48g | Want to Edit it Edit Freely

    Category best policy for investment, how to write a business plan, investment policy statement

    Deadline: December 05, 2017 | Date: December 05, 2017

    Venue/Country: CO, U.S.A

    Updated: 2017-11-08 13:51:08 (GMT+9)

    Call For Papers - CFP

    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 It is worth the time and effort to design a well thought out IPS or even considers a revision to outdated IPS for existing clients.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.

    WHO WILL BENEFIT

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

    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.

    For more detail please click on this below link:

    https://goo.gl/7Nzbtq

    Email: supportattrainingdoyens.com

    Toll Free: +1-888-300-8494

    Tel: +1-720-996-1616

    Fax: +1-888-909-1882


    Keywords: Accepted papers list. Acceptance Rate. EI Compendex. Engineering Index. ISTP index. ISI index. Impact Factor.
    Disclaimer: ourGlocal is an open academical resource system, which anyone can edit or update. Usually, journal information updated by us, journal managers or others. So the information is old or wrong now. Specially, impact factor is changing every year. Even it was correct when updated, it may have been changed now. So please go to Thomson Reuters to confirm latest value about Journal impact factor.