Online Training 2016 - The Investment Policy Statement (IPS) - Rules, Regulations and Best Practices - By Compliance Global Inc

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 c, 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.
Why Should You Attend:
This webinar will focus on why it is essential to design a well thought out IPS or even consider a revision to outdated IPS for existing clients as investment advisor training.
Areas Covered in this 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 investment guidelines objectives
Educating the client on the need for best investment policy
Suggestions on how the compliance team can perform testing of the IPS
Learning Objectives:
Best practices surrounding the IPS
Elements of the IPS
Maintaining the IPS
Compliance testing of the IPS
The significant areas of the firm that should be involved in the development of the IPS
Creating the IPS
Who Will Benefit:
Audit Personnel
CEO/COO
Compliance Personnel
Risk Managers
Operations Managers
Client Service Managers
Attorneys
Investment Management/Portfolio Managers
IT Professionals
Accountants
Financial Planners
Speaker 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.
For more detail please click on this below link:
https://complianceglobal.us/product/700371
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