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Rocco Dibruno
How to Write an Investment Policy Statement (eBook, ePUB)
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Produktdetails
- Verlag: John Wiley & Sons
- Seitenzahl: 80
- Erscheinungstermin: 21. Mai 2013
- Englisch
- ISBN-13: 9781118680124
- Artikelnr.: 39041850
Dieser Download kann aus rechtlichen Gründen nur mit Rechnungsadresse in A, B, BG, CY, CZ, D, DK, EW, E, FIN, F, GR, HR, H, IRL, I, LT, L, LR, M, NL, PL, P, R, S, SLO, SK ausgeliefert werden.
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
1 ERISA AND THE CHALLENGE OF FIDUCIARY RESPONSIBILITY 17 Writing an
Investment Policy 17 What Is a Fiduciary?18 Fiduciary Liability19 Chapter 2
YOUR FIDUCIARY RESPONSIBILITIES AND LIABILITIES UNDER ERISA 21 Five
Fiduciary Responsibilities 21 Fiduciary's Personal Liability 22 A
Fiduciary's Primary Role Is to Manage the Process 23 Chapter 3 WHAT IS AN
INVESTMENT POLICY STATEMENT AND WHAT ARE THE BENEFITS? 25 Risk Management
25 Monitor Investments 26 Summary 27 Chapter 4 UTILIZE THE "SAFE HARBOR"
PROVISIONS PROVIDED BY ERISA 29 Prudent Experts 29 Five Recognized "Safe
Harbor" Rules 29 Chapter 5 COMPLYING WITH ERISA SECTION 404(c) 31 SECTION
TWO: How to Get Started and Steps to Formalize the Process Chapter 6
ASSEMBLING THE DOCUMENTATION 35 Chapter 7 STEPS TO FORMALIZE THE PROCESS 37
STEP 1: Decide on Plan Goals, Objectives, and Strategies 37 STEP 2: Decide
on Strategy for Managing Risk 37 STEP 3: Determine the Risk Tolerance of
the Plan 38 STEP 4: Set Forth Guidelines for Asset Classes 39 STEP 5:
Implement an Asset-Allocation Policy 39 STEP 6: Mutual Funds
Recommendations 39 STEP 7: Delegate Investment Management Responsibility 40
STEP 8: Investment Monitoring and Reporting 40 SECTION THREE: The Template
IPS Chapter 8 SAMPLE IPS TEMPLATES 43 Two Distinct IPS Samples 43
Organization of Templates 43 Chapter 9 SAMPLE IPS TEMPLATE #1: For
Participant-Directed 401(k) That Intends to Comply with ERISA Section
404(c) 458 STEP 1 Executive Summary and Background 45 STEP 2 Purpose of the
Investment Policy Statement 46 STEP 3 Duties and Responsibilities 48 STEP 4
Asset Class Guidelines 50 STEP 5 Investment Manager Selection 52 STEP 6
Monitoring the Investment Managers 53 STEP 7 Controlling and Accounting for
Investment Expenses 55 STEP 8 Investment Policy Review and Monitoring 56
Chapter 10 SAMPLE IPS TEMPLATE #2: For High-Net-Worth Individual Setting Up
a Family Trust 57 Executive Summary 58 PART I--Purpose 59 PART
II--Investment Management Objectives 59 PART III-- Roles and
Responsibilities 60 PART IV-- Investment Manager Selection 61 PART V--
Investment Monitoring and Review 63 PART VI-- Manager Termination 65 PART
VII-- Additional Provisions (optional)65 Conclusion MESSAGE TO PLAN
SPONSORS 67 Glossary 69 Appendix: The Firm Profile 77 About the Author 7
Need a Formal Process for Writing Their Investment Policy Statement Chapter
1 ERISA AND THE CHALLENGE OF FIDUCIARY RESPONSIBILITY 17 Writing an
Investment Policy 17 What Is a Fiduciary?18 Fiduciary Liability19 Chapter 2
YOUR FIDUCIARY RESPONSIBILITIES AND LIABILITIES UNDER ERISA 21 Five
Fiduciary Responsibilities 21 Fiduciary's Personal Liability 22 A
Fiduciary's Primary Role Is to Manage the Process 23 Chapter 3 WHAT IS AN
INVESTMENT POLICY STATEMENT AND WHAT ARE THE BENEFITS? 25 Risk Management
25 Monitor Investments 26 Summary 27 Chapter 4 UTILIZE THE "SAFE HARBOR"
PROVISIONS PROVIDED BY ERISA 29 Prudent Experts 29 Five Recognized "Safe
Harbor" Rules 29 Chapter 5 COMPLYING WITH ERISA SECTION 404(c) 31 SECTION
TWO: How to Get Started and Steps to Formalize the Process Chapter 6
ASSEMBLING THE DOCUMENTATION 35 Chapter 7 STEPS TO FORMALIZE THE PROCESS 37
STEP 1: Decide on Plan Goals, Objectives, and Strategies 37 STEP 2: Decide
on Strategy for Managing Risk 37 STEP 3: Determine the Risk Tolerance of
the Plan 38 STEP 4: Set Forth Guidelines for Asset Classes 39 STEP 5:
Implement an Asset-Allocation Policy 39 STEP 6: Mutual Funds
Recommendations 39 STEP 7: Delegate Investment Management Responsibility 40
STEP 8: Investment Monitoring and Reporting 40 SECTION THREE: The Template
IPS Chapter 8 SAMPLE IPS TEMPLATES 43 Two Distinct IPS Samples 43
Organization of Templates 43 Chapter 9 SAMPLE IPS TEMPLATE #1: For
Participant-Directed 401(k) That Intends to Comply with ERISA Section
404(c) 458 STEP 1 Executive Summary and Background 45 STEP 2 Purpose of the
Investment Policy Statement 46 STEP 3 Duties and Responsibilities 48 STEP 4
Asset Class Guidelines 50 STEP 5 Investment Manager Selection 52 STEP 6
Monitoring the Investment Managers 53 STEP 7 Controlling and Accounting for
Investment Expenses 55 STEP 8 Investment Policy Review and Monitoring 56
Chapter 10 SAMPLE IPS TEMPLATE #2: For High-Net-Worth Individual Setting Up
a Family Trust 57 Executive Summary 58 PART I--Purpose 59 PART
II--Investment Management Objectives 59 PART III-- Roles and
Responsibilities 60 PART IV-- Investment Manager Selection 61 PART V--
Investment Monitoring and Review 63 PART VI-- Manager Termination 65 PART
VII-- Additional Provisions (optional)65 Conclusion MESSAGE TO PLAN
SPONSORS 67 Glossary 69 Appendix: The Firm Profile 77 About the Author 7
Foreword by Don Trone 11 SECTION ONE: Why Plan Sponsors and All Fiduciaries
Need a Formal Process for Writing Their Investment Policy Statement Chapter
1 ERISA AND THE CHALLENGE OF FIDUCIARY RESPONSIBILITY 17 Writing an
Investment Policy 17 What Is a Fiduciary?18 Fiduciary Liability19 Chapter 2
YOUR FIDUCIARY RESPONSIBILITIES AND LIABILITIES UNDER ERISA 21 Five
Fiduciary Responsibilities 21 Fiduciary's Personal Liability 22 A
Fiduciary's Primary Role Is to Manage the Process 23 Chapter 3 WHAT IS AN
INVESTMENT POLICY STATEMENT AND WHAT ARE THE BENEFITS? 25 Risk Management
25 Monitor Investments 26 Summary 27 Chapter 4 UTILIZE THE "SAFE HARBOR"
PROVISIONS PROVIDED BY ERISA 29 Prudent Experts 29 Five Recognized "Safe
Harbor" Rules 29 Chapter 5 COMPLYING WITH ERISA SECTION 404(c) 31 SECTION
TWO: How to Get Started and Steps to Formalize the Process Chapter 6
ASSEMBLING THE DOCUMENTATION 35 Chapter 7 STEPS TO FORMALIZE THE PROCESS 37
STEP 1: Decide on Plan Goals, Objectives, and Strategies 37 STEP 2: Decide
on Strategy for Managing Risk 37 STEP 3: Determine the Risk Tolerance of
the Plan 38 STEP 4: Set Forth Guidelines for Asset Classes 39 STEP 5:
Implement an Asset-Allocation Policy 39 STEP 6: Mutual Funds
Recommendations 39 STEP 7: Delegate Investment Management Responsibility 40
STEP 8: Investment Monitoring and Reporting 40 SECTION THREE: The Template
IPS Chapter 8 SAMPLE IPS TEMPLATES 43 Two Distinct IPS Samples 43
Organization of Templates 43 Chapter 9 SAMPLE IPS TEMPLATE #1: For
Participant-Directed 401(k) That Intends to Comply with ERISA Section
404(c) 458 STEP 1 Executive Summary and Background 45 STEP 2 Purpose of the
Investment Policy Statement 46 STEP 3 Duties and Responsibilities 48 STEP 4
Asset Class Guidelines 50 STEP 5 Investment Manager Selection 52 STEP 6
Monitoring the Investment Managers 53 STEP 7 Controlling and Accounting for
Investment Expenses 55 STEP 8 Investment Policy Review and Monitoring 56
Chapter 10 SAMPLE IPS TEMPLATE #2: For High-Net-Worth Individual Setting Up
a Family Trust 57 Executive Summary 58 PART I--Purpose 59 PART
II--Investment Management Objectives 59 PART III-- Roles and
Responsibilities 60 PART IV-- Investment Manager Selection 61 PART V--
Investment Monitoring and Review 63 PART VI-- Manager Termination 65 PART
VII-- Additional Provisions (optional)65 Conclusion MESSAGE TO PLAN
SPONSORS 67 Glossary 69 Appendix: The Firm Profile 77 About the Author 7
Need a Formal Process for Writing Their Investment Policy Statement Chapter
1 ERISA AND THE CHALLENGE OF FIDUCIARY RESPONSIBILITY 17 Writing an
Investment Policy 17 What Is a Fiduciary?18 Fiduciary Liability19 Chapter 2
YOUR FIDUCIARY RESPONSIBILITIES AND LIABILITIES UNDER ERISA 21 Five
Fiduciary Responsibilities 21 Fiduciary's Personal Liability 22 A
Fiduciary's Primary Role Is to Manage the Process 23 Chapter 3 WHAT IS AN
INVESTMENT POLICY STATEMENT AND WHAT ARE THE BENEFITS? 25 Risk Management
25 Monitor Investments 26 Summary 27 Chapter 4 UTILIZE THE "SAFE HARBOR"
PROVISIONS PROVIDED BY ERISA 29 Prudent Experts 29 Five Recognized "Safe
Harbor" Rules 29 Chapter 5 COMPLYING WITH ERISA SECTION 404(c) 31 SECTION
TWO: How to Get Started and Steps to Formalize the Process Chapter 6
ASSEMBLING THE DOCUMENTATION 35 Chapter 7 STEPS TO FORMALIZE THE PROCESS 37
STEP 1: Decide on Plan Goals, Objectives, and Strategies 37 STEP 2: Decide
on Strategy for Managing Risk 37 STEP 3: Determine the Risk Tolerance of
the Plan 38 STEP 4: Set Forth Guidelines for Asset Classes 39 STEP 5:
Implement an Asset-Allocation Policy 39 STEP 6: Mutual Funds
Recommendations 39 STEP 7: Delegate Investment Management Responsibility 40
STEP 8: Investment Monitoring and Reporting 40 SECTION THREE: The Template
IPS Chapter 8 SAMPLE IPS TEMPLATES 43 Two Distinct IPS Samples 43
Organization of Templates 43 Chapter 9 SAMPLE IPS TEMPLATE #1: For
Participant-Directed 401(k) That Intends to Comply with ERISA Section
404(c) 458 STEP 1 Executive Summary and Background 45 STEP 2 Purpose of the
Investment Policy Statement 46 STEP 3 Duties and Responsibilities 48 STEP 4
Asset Class Guidelines 50 STEP 5 Investment Manager Selection 52 STEP 6
Monitoring the Investment Managers 53 STEP 7 Controlling and Accounting for
Investment Expenses 55 STEP 8 Investment Policy Review and Monitoring 56
Chapter 10 SAMPLE IPS TEMPLATE #2: For High-Net-Worth Individual Setting Up
a Family Trust 57 Executive Summary 58 PART I--Purpose 59 PART
II--Investment Management Objectives 59 PART III-- Roles and
Responsibilities 60 PART IV-- Investment Manager Selection 61 PART V--
Investment Monitoring and Review 63 PART VI-- Manager Termination 65 PART
VII-- Additional Provisions (optional)65 Conclusion MESSAGE TO PLAN
SPONSORS 67 Glossary 69 Appendix: The Firm Profile 77 About the Author 7