E&O Liability Insurance for
Investment Companies & Advisors since 1992
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Questions to consider?

What are the Defense Provisions?

What is the difference between Reimbursement and Pay-on-Behalf?

What is the carrier’s experience in managing fiduciary claims?

Is there an Alternatives Exclusion and how is it defined?

Any conditional Custodial or BD language?

Any mutual investment exclusion or limitation?

How is a claim triggered? What defines?

What is the definition of Notification?

How are Cost-of-Corrections handled?

How are Prior-Acts handled?


Our ia360 Process...Is your Investment Advisor E&O right for you?

With increased levels of litigiousness, and the resultant increase in the level of risk associated with being an investment advisor, the obvious question is what can be done to manage and/or control that risk.

Golsan Scruggs has developed a methodology called ia360. This process helps understand your practice and analyze coverage issues so that a proper solution is structured to mitigate the exposures of your practice.

Step #1
RISK IDENTIFICATION
Understanding your practice and it's unique exposures.
Step #2
COVERAGE ANALYSIS
What are the issues, terms, conditions and implications.
Step #3
CREATE SOLUTIONS
In view of steps #1 and #2, the differing variables among the underwriter solutions - what insurance coverage structure is best?
Step #4
MONITOR & MANAGE
How might your practice evolve? What additional tactics beyond insurance can be beneficial?


If you have any specific questions about our
Professional Liability Insurance and Errors and Omissions Insurance for Investment Advisors
call us 1-800-273-5883 or click here to contact us.

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