Investment Policy Statement
Availability
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Overview
Use the Investment Policy Statement (IPS) module to capture information about a client's Investment Policy Statements, which are used as a road map for a client's investments. The acceptance of fiduciary responsibility for a client's investments dictates that the client have an Investment Policy Statement.
Actions
Follow the instructions below to perform tasks such as creating, editing, and exporting Investment Policy Statement records.
To… |
Then… |
Create an Investment Policy Statement record |
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Display a list of Investment Policy Statements |
Click Compliance > Investment Policy Statement > View Investment Policy Statements. |
Display the details for an Investment Policy Statement record |
Click the investment policy statement name in the Investment Policy Statement List View. |
Edit investment policy statement information |
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Suppress one or more Investment Policy Statement records |
You can also suppress a single Investment Policy Statement record by clicking Suppress on the Investment Policy Statement Detail View. |
Update information related to multiple investment policy statements |
For more information, see Editing and suppressing multiple records. |
Duplicate investment policy statement information |
Click Duplicate in the Investment Policy Statement Detail View. Duplication is a convenient way of creating a similar Investment Policy Statement record. You can change and save the information in the duplicate record to create a new record. |
Export records |
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Field Descriptions
Fields that have an asterisk (*) are required; you must enter data in the field to save the record.
Client |
Click the Client to which the IPS record applies on the Clients Popup List View (displays upon clicking the Selection arrow) or the list of Clients matching the character(s) you enter. |
Assigned to |
By default, the record is assigned to the creator of the IPS record. To change the assignment, click the user on the Users Popup List View (displays upon clicking the Selection arrow) or the list of users matching the character(s) you enter. |
IPS* |
Enter a description of the IPS; e.g., Investment Policy Statement 2013 Revision 1. This is a mandatory field. |
File |
Click Choose File and navigate to and select the file containing a copy of the insurance policy. The file name displays in the Select File box. |
IPS Date* |
Click on the Date Selector the date of the IPS. |
Questionnaire Date |
Click on the Date Selector the date the client completed a risk tolerance or due diligence questionnaire. |
Description |
Enter additional information about the IPS. |
Teams* |
By default, your private team is assigned as the primary team. To change the primary team assignment, click the team on the Teams Popup List View (displays upon clicking the Selection arrow) or the list of teams matching the character(s) you enter. To assign additional teams to the IPS record click add (+) and click the team as described above. For more information on assigning teams, see Assigning Users and Teams to Records. This is a mandatory field; you must assign a Team. |
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