Errors and Omissions, Fiduciary & Professional Liability Insurance

ia360 RISK TIPS ARCHIVE

The following articles were written by Ken Golsan and Brian Francetich of Golsan Scruggs.

• Practice Mergers & Acquisitions: Fiduciary Liability Exposure? - Nov 2009
• Fiduciary Liability and E&O Liability: What's the Difference? - Oct 2009
• ETFs and the Definition of Insured Investments - July 2009
• Alternative Investments - June 2009
• How Much E&O Should I Buy? - May 2009
• Material Change - April 2009

RISK MANAGEMENT ARTICLES

The following articles were written by Bud Bigelow, The 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 articles were written by Todd E. Schwartz, Carr, Schwartz & Butterfield, for publication in various publications within the financial community.

• Regulation S-P: Now More Important Than Ever
• Tips on Pushing That Compliance Rock Up The Hill

The following notes regarding federal and state securities laws were compiled by Ken Golsan, principal of Golsan Scruggs.

• Ken's Securities Law Notes

RISK MANAGEMENT RESOURCES

FI360
The mission of fi360 is to promote a culture of fiduciary responsibility and improve the decision making process of investment fiduciaries. FI360 members with the AIF designation get a 5% Cambridge Alliance affinity premium discount.
• FI360 Homepage
• Prudent Practices for Investment Advisor

LOSS SCENARIOS

• Failure to Adhere to Contract Provisions
• Suitability of Investments
• Failure to Follow Investment Guidelines
• Negligence/Suitability of Investments
• Negligence/Unauthorized Trade

FEDERAL & NATIONAL REGULATORY BODIES

• Investment Adviser Registration Depository (IARD)
• IARD: Registration Information
• National Association of Securities Dealers
• NASB: Registration Information
• NASAA - Investment Adviser Guide
• NASAA - State Securities Division Directory

INDUSTRY ASSOCIATIONS

• Financial Planning Association
• National Association of Personal Financial Advisors
• Intl Assoc for Registered Financial Consultants
• The International Forum
• Investment Management Consultants Association
• The National Association of Investment Professionals
• National Compliance Services'
• Fee Planners Network

E&O Insurance for Investment Companies & Advisors (800) 273-5883

E&O Insurance for Investment Companies & Advisors
(800) 273-5883