4139  |  On Demand  |  Intermediate  |  Self-Study

Creating the Investment Policy Statement

Friday, May 1, 2020 - Friday, April 30, 2021

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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.


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.


  • Thomas Tillery (view bio)
  • Susan Tillery

Designed For

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


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 subservice organizations Understanding the content of the description Trust Services Principles and Criteria and the new Trust Services Criteria

Your Price: $99.00

This is your base price and does not reflect any additional session fees, optional add-ons, or guest registrations.

Members log in and save $20.00 on this event. Not a member? join today.


Thomas Tillery

Thomas Tillery is a member of AICPA Personal Financial Planning Section (Non-CPA Associate), the Society of Financial Service Professionals, and the Atlanta Estate Planning Council.

Tom has been a provider of Continuing Education for attorneys, CPAs, and investment and insurance professionals for over 20 years. He has written curriculum and lectured in the discipline of Financial Planning for several universities and on line programs.

Tom is also an Arbitrator for the Financial Industry Regulatory Authority (FINRA).

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