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Compliance Tools
Investment Policy Statement Outline
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compliance tools]
An investment policy statement should include, at a
minimum, the following information:
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Plan investment objectives |
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Roles and responsibilities of
all parties involved in the investment decisions e.g. investment committee,
investment advisor, trustees, employer, etc. |
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Details regarding the investment
decision-making process |
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Types and number of investment
options |
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Investment selection criteria
e.g. manager tenure, performance return, fees, risk, etc. |
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Investment monitoring/evaluation
criteria |
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Benchmarking against indexes and
similar investments |
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Options for investments that do
not meet evaluation criteria |
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Meetings and documentation of
the decision making process |
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Participant communication and
education |
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