Time: December 5, 2017 from 1pm to 2pm
Location: 26468 E Walker Dr, Aurora, Colorado 80016-6104
Street: 26468 E Walker Dr, Aurora, Colorado 80016-6104
Website or Map: https://tinyurl.com/y7fjtce7
Event Type: online, webinar
Organized By: Training Doyens
Latest Activity: Nov 8, 2017
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 It is worth the time and effort to design a well thought out IPS or even considers a revision to outdated IPS for existing clients.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.
WHO WILL BENEFIT
This webinar will benefit the Portfolio Managers, Traders, Client Service Managers, Operations staff and the Compliance Professionals.
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:
Toll Free: +1-888-300-8494