Get the free Investment Policy Statement

Get Form

We are not affiliated with any brand or entity on this form

Fill out

Complete the form online in a simple drag-and-drop editor.

eSign

Add your legally binding signature or send the form for signing.

Share

Share the form via a link, letting anyone fill it out from any device.

Export

Download, print, email, or move the form to your cloud storage.

Why pdfFiller is the best tool for your documents and forms

Learn more about security

End-to-end document management

From editing and signing to collaboration and tracking, pdfFiller has everything you need to get your documents done quickly and efficiently.

Accessible from anywhere

pdfFiller is fully cloud-based. This means you can edit, sign, and share documents from anywhere using your computer, smartphone, or tablet.

Secure and compliant

pdfFiller lets you securely manage documents following global laws like ESIGN, CCPA, and GDPR. It's also HIPAA and SOC 2 compliant.

What is IPS

The Investment Policy Statement is a document used by investors and advisers to establish clear investment goals and management policies.

pdfFiller scores top ratings on review platforms

Show more Show less

Fill fillable IPS form: Try Risk Free

Rate free IPS form

4.7

satisfied

60 votes

Who needs IPS?

Explore how professionals across industries use pdfFiller.

IPS is needed by:

Individual Investors seeking to clarify their investment strategies
Financial Advisers guiding clients through investment processes
Institutional Investors aiming for structured investment management
Wealth Management Firms managing client portfolios
Financial Planners developing comprehensive investment approaches

Comprehensive Guide to IPS

What is an Investment Policy Statement?

An Investment Policy Statement (IPS) is a crucial document that outlines the expectations between investors and advisers regarding investment goals and management strategies. The IPS serves to clarify the investment approach, establish responsibilities, and foster trust in the adviser-client relationship. Importantly, it's essential to note that the IPS is not a legal contract, but rather a guiding framework for investment activities.

This document, often provided in PDF format, helps in outlining both parties' roles and expectations, ensuring that all involved understand the investment philosophy being employed.

Purpose and Benefits of the Investment Policy Statement

The primary benefit of having an IPS is that it creates a structured approach to investment management, which can enhance communication and understanding between investors and advisers. An IPS fosters a collaborative relationship, ensuring that both parties are aligned in their investment strategies. By setting clear guidelines, it helps prevent misunderstandings and establishes a basis for accountability.

Moreover, the IPS can result in improved investment outcomes by defining the parameters within which the portfolio operates, allowing for a more focused and effective investment strategy.

Key Features of the Investment Policy Statement

Key features of the IPS include designated fields for signatures from both investors and advisers, ensuring that all parties are formally included in the agreement. Customizability is another important feature, allowing users to adapt the IPS to fit specific investment philosophies and strategies. Security features, such as those included in the IPS template, ensure that the document remains protected throughout its lifecycle.

Signature fields for both investors and advisers
Customizable templates to fit various investment philosophies
Security measures for protecting document integrity

Who Needs the Investment Policy Statement?

Investors, both individual and institutional, are the primary users of the IPS, as it provides a clear framework for their investment activities. Advisers also benefit from the IPS, as it helps them establish clear guidelines for managing client portfolios. The IPS is relevant across various investment strategies and goals, making it adaptable for diverse financial situations.

By implementing an IPS, advisers can ensure they meet their clients' expectations and maintain transparency in their investment processes.

How to Fill Out the Investment Policy Statement Online

Completing the IPS online, particularly with tools like pdfFiller, can streamline the process. Here's a step-by-step guide to effectively fill out the IPS:

Gather necessary information about your investment goals and strategies.
Access the IPS template using pdfFiller.
Fill in each section with the required details, ensuring accuracy.
Review your entries for completeness and precision.
Save the document regularly to avoid losing any information.

Review and Validation Checklist for the Investment Policy Statement

Before finalizing the IPS, it’s important to ensure every section is complete. Users should follow this validation checklist:

Have you filled out all mandatory fields?
Did you review for common errors, such as typos or missing signatures?
Have you confirmed that the investment objectives align with your strategies?

Validating the information ensures that the completed document reflects the correct investment philosophy.

How to Sign the Investment Policy Statement

When it comes to signing the IPS, there are multiple options available. Investors and advisers can choose between digital signatures or physical wet signatures, depending on their preferences and legal requirements. Digital signatures provide an effective means to ensure document security and integrity.

It’s advisable to follow best practices for eSigning, ensuring that all necessary security measures are in place to protect sensitive information.

Submission Methods for the Investment Policy Statement

After completing the IPS, users can easily save and export the document using pdfFiller. There are various submission methods to consider:

Emailing the completed IPS to relevant parties
Uploading the document directly to a designated platform
Mailing a physical copy if necessary

Each submission method may have specific requirements, so it’s essential to review them before proceeding.

What Happens After Submitting the Investment Policy Statement

Following submission, users should be aware of the next steps, which typically involve response timelines from advisers or financial institutions. In some cases, follow-up actions may be required if additional information is necessary. Keeping a copy of the completed IPS is critical for future reference and record-keeping.

Creating Your Investment Policy Statement with pdfFiller

pdfFiller simplifies the creation and management of the IPS, enhancing usability with robust editing and eSigning capabilities. It offers various security features to protect sensitive data, and user support is readily available for assistance. Leverage pdfFiller's functionalities to efficiently manage your IPS needs, ensuring a smooth and secure document experience.

Last updated on Mar 15, 2016

How to fill out the IPS

1.

To begin filling out the Investment Policy Statement on pdfFiller, visit the pdfFiller website and log in to your account. If you don’t have an account, create one for free.
2.

Once logged in, use the search bar to locate the 'Investment Policy Statement' form. Click on the form to open it in the editor.
3.

Before starting to fill in the fields, gather any necessary information such as your investment goals, risk tolerance, and financial objectives to ensure you have a clear understanding.
4.

Navigate through the form using the editing tools provided. Click on each field to enter your information, such as your name, the investment goals, and other relevant details.
5.

If there are blank fields meant for signatures, remember to leave them empty for later. You can save the information you’ve entered as you progress.
6.

After completing all fields, review the entire document for accuracy. Make sure every section reflects your investment strategy and adviser agreement.
7.

Once satisfied with your entries, save your progress. Choose to download the document as a PDF or submit it directly through pdfFiller’s submission options.

FAQs

If you can't find what you're looking for, please contact us anytime!

Contact Support

Who is eligible to fill out the Investment Policy Statement?

The Investment Policy Statement can be filled out by individual investors and their advisers. Both parties should collaborate to ensure that all investment goals are accurately reflected in the form.

Are there any deadlines for submitting the Investment Policy Statement?

There are typically no strict deadlines for submitting the Investment Policy Statement. However, it is advisable to complete and finalize it before making significant investment decisions.

What methods can I use to submit the completed form?

You can submit the completed Investment Policy Statement by downloading it as a PDF and emailing it to your adviser or submitting directly via the platform if your adviser uses pdfFiller.

What supporting documents do I need when filling out the form?

Commonly, you should have documentation regarding your financial goals, risk tolerance assessments, and any previous investment agreements to inform the details in your Investment Policy Statement.

What are some common mistakes to avoid when completing this form?

Common mistakes include failing to provide accurate financial goals, misunderstanding terms, or leaving signature fields blank. Review the document carefully to avoid any omissions.

What is the processing time for the Investment Policy Statement?

Processing time for the Investment Policy Statement can vary. Once submitted, it typically takes a few days to finalize arrangements with your adviser.

What if I have concerns about the contents of my Investment Policy Statement?

If you have concerns, discuss them directly with your adviser before finalizing the form. They can help clarify any issues or make necessary adjustments.