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

Duration: 60 Minutes
This webinar will focus on why it is essential to design a well thought out IPS or even consider a revision to outdated IPS for existing clients. This training program will analyze best practices for the investment policy statement (IPS), elements of the IPS, compliance testing of the IPS and more.
Investment Policy Statement
Instructor: Lisa M. Marsden
Product ID: 501512
Objectives of the Presentation
  • 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
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.

Areas Covered
  • 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 can 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
$300
Recorded Session for one participant
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How it works
Live Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • The webinar joining link, username and password for joining the webinar will be updated on your OCP Account 24 hours prior to the webinar
  • Presentation handouts in Downloadable PDF format will be updated on your OCP Account 24 hours prior to the live session
  • Login to the audio conference on the scheduled date and time
  • Get answers to your queries through interactive Q&A sessions via chat at the end of the session
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account 24 hours after the completion of the session
  • Please let us know your thoughts and views at the end of the webinar, your valuable feedback will help us improve
Recorded Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • Upon purchase of the recorded session a link will be updated on your OCP Account within 24 hours
  • Please click on the link to access the Recorded Session
  • Presentation handouts in downloadable PDF format will be updated on your OCP Account within 24 hours of the purchase of the product
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account after 48 hours of the product Purchase
  • Please share your valuable Feedback at the end of the session
Instructor Profile:
Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and 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 broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.

Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. 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 leads two extremely intelligent groups of local compliance and IT professionals with the goal to help educate themselves, their firms and each other in the area of cyber security and compliance regulation as it pertains to the financial area. She serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale, and has moderated a cyber-security panel consisting of a Certified Ethical Hacker and Securities and Exchange Commission Examiner for the FPA of Greater Fort Lauderdale's annual conference, conducted training sessions on the financial regulations regarding cyber security.
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