WE BELIEVE IT IS INCUMBENT UPON US TO EARN THE RIGHT TO BE APPOINTED AS YOUR INSURANCE AND RISK MANAGEMENT AGENT.

Learn why understanding your practice and analyzing coverage issues protects your business.

CHUBB ALLIANCE PARTNER

WESTERN REFERRED AGENT

ria_riskguide2Investment Advisers face risks associated with rendering investment advice to their clients, managing their clients’ assets, publishing written materials related to investment advice, and, from regulators, for violations of Federal and State law governing their practices.

Golsan Scruggs, in association with Markun, Zusman, Freniere, Compton LLP,  have published a white paper entitled RIA Risk & Insurance Guide.  It highlights the sources of the risks that Investment Advisers encounter in their practices.

Content includes:

  • The Basis for Risk
  • Legal Duties of Investment Advisers
  • Risk Categories & Case Law
  • Claim Illustrations
  • Risk Summations
  • Insurance (Risk-Transfer) Mechanisms

To receive your complimentary copy of our RIA Risk & Insurance Guide, please provide the following information.