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Creating the Investment Policy Statement (On-Demand) 2020


Are you educating your clients on the tax effects and opportunities available for their investment portfolio? Narrated by Tom Tillery, this three-part course Illustrates how the Investment Policy Statement (IPS) guides the planner and client through the investment process.

The course covers the components needed to create an investment policy statement (IPS), including:

  • Income tax planning and strategies
  • Allocation strategies
  • Services most financial advisers do not take into consideration.
  • The last section pulls it all together, describing how to develop the IPS, identifying the components of the IPS, and a discussion on how the IPS provides guidance for the personal financial planner and client throughout the engagement.

This course features a handout that includes a sample Investment Policy Statement you will refer to time and again in your practice.

Format: Voiceover PowerPoint, Audio

Learning Objectives
  • Differentiate among the various types of tax rates for capital assets.
  • Recall tax treatment of basis in IRC Section 1091 transactions.
  • Determine the taxation of a loss on IRC Section 1244 stock.
  • Recall the impact the investment time horizon has on an investment portfolio.
  • Identify special liquidity considerations.
  • Recognize the legal obligation mandated by an investment policy statement.
  • Identify the components of an investment policy statement.
Major Topics
  • Comparison of SOC 1, SOC 2 and SOC 3 reports
  • Standards and guidance relevant and applicable to SOC for service organizations examinations
  • SOC 1 and SOC 2 Planning, executing and reporting considerations
  • Evaluating the suitability of criteria
  • Responsibilities of management of the service organization
  • Evaluating the design of controls
  • Identifying sub-service organizations Understanding the content of the description
  • Trust Services Principles and Criteria and the new Trust Services Criteria
AICPA - Durham
Course Level
CPE Field of Study
Specialized Knowledge
Who Should Attend

CPAs and financial planners with basic knowledge of, and interest in, personal financial planning.

Susan Tillery Tom Tillery


Advanced Preparation


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Creating the Investment Policy Statement (On-Demand) 2020

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