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Note: Supplemental materials are not guaranteed with Rental or Used book purchases.
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What is included with this book?
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.
Rocco DiBruno is the author of How to Write an Investment Policy Statement, 2nd Edition, published by Wiley.
Foreword by Don Trone 11
SECTION ONE: Why Plan Sponsors and All Fiduciaries Need a Formal Process for Writing Their Investment Policy Statement
Chapter 1ERISA AND THE CHALLENGE OF FIDUCIARY RESPONSIBILITY 17
Chapter 2YOUR FIDUCIARY RESPONSIBILITIES AND LIABILITIES UNDER ERISA 21
Chapter 3WHAT IS AN INVESTMENT POLICY STATEMENT AND WHAT ARE THE BENEFITS? 25
Chapter 4UTILIZE THE “SAFE HARBOR” PROVISIONS PROVIDED BY ERISA 29
SECTION TWO: How to Get Started and Steps to Formalize the Process
Chapter 6ASSEMBLING THE DOCUMENTATION 35
Chapter 7STEPS TO FORMALIZE THE PROCESS 37
SECTION THREE: The Template IPS
Chapter 8SAMPLE IPS TEMPLATES 43
Chapter 9SAMPLE IPS TEMPLATE #1: For Participant-Directed 401(k) That Intends to Comply with ERISA Section 404(c) 45
Chapter 10SAMPLE IPS TEMPLATE #2: For High-Net-Worth Individual Setting Up a Family Trust 57
ConclusionMESSAGE TO PLAN SPONSORS 67
Glossary 69
Appendix: The Firm Profile 77
About the Author 79
The New copy of this book will include any supplemental materials advertised. Please check the title of the book to determine if it should include any access cards, study guides, lab manuals, CDs, etc.
The Used, Rental and eBook copies of this book are not guaranteed to include any supplemental materials. Typically, only the book itself is included. This is true even if the title states it includes any access cards, study guides, lab manuals, CDs, etc.