How to Write an Investment Policy Statement
How to Write an Investment Policy Statement by Jack Gardner is a concise guide published by Wiley on April 19, 2004, featuring 80 pages in English. This book serves as a critical resource for financial service professionals tasked with developing an Investment Policy Statement (IPS), a key document that fiduciaries must draft in compliance with industry regulations such as ERISA. The current landscape of corporate scrutiny has heightened the importance of ensuring that IPSs meet rigorous standards, making this guide particularly relevant.
Readers will find a structured approach to creating a uniform IPS that can be utilized by all advisors within an organization. The book outlines the duties and responsibilities of involved parties, clarifies diversification guidelines, and offers strategies for managing costs effectively. Additionally, it includes practical tools such as templates, sample forms, and diagrams, along with a downloadable sample Policy Statement available on the companion website. This edition provides the essential insights and frameworks needed to uphold high standards of care and protection in financial advising.
Official synopsis Publisher
An indispensable resource for every financial service professionals developing an IPS
The Investment Policy Statement (IPS) is one of the most critical documents fiduciaries must draft. For years, ERISA and other industry regulations have governed the guidelines all fiduciaries must comply with when drafting one. But the current climate of corporate scandal and the 2008 global banking crisis have led to increased scrutiny by regulators, prompting firms to take a closer look at the quality and integrity of their IPSs and to take steps to have a rigorous formal process in place for drafting them. Endorsed by the Foundation of Fiduciary Studies, this concise guide provides a rigorous framework and the expert insight, information and guidance you need to guarantee that your IPS is in complete compliance with all ERISA-directed requirements.
- Provides a step-by-step plan for creating a uniform IPS that every advisor in the office can follow
- Defines the duties and responsibilities of all parties involved, while clarifying diversification guidelines and providing methods for keeping costs under control
- Packed with ready-to-use templates, sample forms, letters and other documents, diagrams and other valuable tools, including sample Policy Statement downloadable at the companion website
- Designed to get you quickly up to speed on what you need to know to confidently serve your clients with the highest standards of care and protection
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