Series 65: Investment Policy Statement

Taken from our Series 65 Online Guide

Investment Policy Statement

To help further limit an employer’s liability as a fiduciary, employers can incorporate an investment policy statement (IPS) into their retirement plan. An investment policy statement is essentially the guiding document outlining how many of the ERISA 404(c) requirements are met, including how an employer screens and selects the underlying investments and investment managers, monitors performance, limits expenses in the plan, etc.

Investment policy statements are one of the first things that the U

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