Golsan Scruggs, in association with Markun, Zusman, Freniere, Compton LLP, has published a white paper entitled RIA Risk & Insurance Guide. It highlights the sources of the risks that Investment Advisers encounter in their practices.
Investment 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.
Content includes:
- The Basis for Risk
- Legal Duties of Investment Advisers
- Risk Categories & Case Law
- Claim Illustrations
- Risk Summation
- Insurance (Risk-Transfer) Mechanisms
- The Insurance Contract
- Underwriter Limitations
- Agent/Broker Representation Limitations
To receive your complimentary copy of our RIA Risk & Insurance Guide, please provide the following information.
