This Event has Passed
Tuesday, December 05, 2017
1:00 PM - 2:00 PM
1:00 PM - 2:00 PM See all dates and Times
http://bit.ly/2zO4Rzd
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 It is worth the time and effort to design a well thought out IPS or even considers a revision to outdated IPS for existing clients.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.
For more details click on this link:
http://bit.ly/2zO4Rzd
Email: [email protected]
Toll Free:+1-888-300-8494
Tel: +1-720-996-1616
Fax: +1-888-909-1882
PRICE : $199
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.
For more details click on this link:
http://bit.ly/2zO4Rzd
Email: [email protected]
Toll Free:+1-888-300-8494
Tel: +1-720-996-1616
Fax: +1-888-909-1882
PRICE : $199
