IN THE NEWS
The following articles involved interviews of Ken Golsan and Brian Francetich.
- PROTECTING YOUR PRACTICE – Key considerations when purchasing E&O insurance [br]Plan Adviser magazine interview with Ken Golsan and Brian Francetich.
- INSURING THE RISK – Why every adviser needs insurance for fiduciary breaches [br]Plan Adviser magazine interview with Ken Golsan and Brian Francetich.
- HEDGE FUND INVESTMENT ADVISER INSURANCE [br]Hedge Fund Law Blog interview with Brian Francetich.
- BATTLE LINES – Advisers increasingly are embracing ERISA plan fiduciary status. [br]Plan Advisor magazine interview with Ken Golsan.
The following risk management newsletters were published by Markel Cambridge Alliance for the investment advisor community:
- 2011 Vol. 1 – Topics include: Insurance Concepts, Investment Selection, Avoid a Common Claim, Tom’s Take and Loss Environment.
- 2011 Vol. 2 – Topics include: Social Media, Regulatory Update, Insurance Concepts, Avoid a Common Claim, and Loss Environment.
- 2012 Vol. 3 – Topics include: Examination of leveraged ETFs, Best practice – avoid wire fraud, Social media update, and Registration switch.
- 2012 Vol. 4 – Topics include: Dodd-Frank impact to advisor registration, Best practice – New client due diligence, How economic sanctions can impact you, Social media update, New fee disclosure requirements for retirement plans.
- 2013 Vol. 5 – Topic focus: Best practices to avoid wire fraud
- 2013 Vol. 6 – Topic focus: Safeguarding client information and avoiding wire fraud
The following articles were written by Bud Bigelow, Markel Cambridge Alliance, for publication in various trade publications within the financial community.
- Insuring Your Financial Planning Practice
- Loss Prevention and the Greening of the Financial Planning Profession
- Perils of Group Sponsored Broker Dealer E&O Insurance Programs
- Standards and the CFP Practitioner’s Exposure to Liability
- Surviving in the Liability Jungle
- Are There Differences Among Policies?
- Selecting A Limit
- What Should RIAs Ask About Professional Liability Insurance?
- SEC Letter: BD’s deemed not to be Investment Advisors
The following documents are written and provided by Golsan Scruggs.
- Ken’s Securities Law Notes – Notes regarding federal and state securities laws compiled by Ken Golsan, principal of Golsan Scruggs.
- RIA Risk Survey – The purpose is to determine what areas of risk are collectively perceived as concerning, significant and central to a U.S. based Registered Investment Advisory operation.