Risk Tips

21 May

Posted at 08:26h in Risk Tips

[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_column_text css=""]In today’s complex financial services environment, liability protection is essential—especially for Hybrid RIAs that blend both commission-based and fee-based business models. Many of these firms are required to carry Errors & Omissions (E&O) insurance through their broker-dealer...

20 May

Posted at 08:45h in Risk Tips

[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_column_text css=""]Cyber security is top of mind and critical to the viability of your organization.  Advisors ask Golsan Scruggs about cyber liability and cyber theft more than most other RIA exposures. Managing this risk effectively requires two components:...

29 Apr

Posted at 08:42h in Risk Tips

[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_column_text css=""]Municipal Advisors face unique challenges and potential coverage issues when securing Professional & Management Liability insurance contracts. The basis of these challenges is largely because Municipal Advisors are required to secure E&O insurance on a Registered Investment...

10 Jun

Posted at 09:44h in Risk Tips

[vc_row css_animation="" row_type="row" use_row_as_full_screen_section="no" type="full_width" angled_section="no" text_align="left" background_image_as_pattern="without_pattern"][vc_column][vc_column_text]Municipal Advisors face unique challenges and potential coverage issues when securing Professional & Management Liability insurance contracts. The basis of these challenges is largely because Municipal Advisors are required to secure E&O insurance on a Registered Investment Advisor...