The RIASURE Risk Panel is made available to all clients of Golsan Scruggs as a support to help with various practice questions, concerns and issues they face. The panel consists of industry partners such as legal, compliance, insurance underwriters, risk consultants, established fellow investment advisors, and custodial representatives.
Example questions include:
- What will be the implications of Dodd-Frank to my practice?
- What investment types/classes present the greatest exposure for advisors?
- What should an RIA to RIA sub-advisory agreement look like?
- What are the Pros & Cons to using Investment Policy Statements?
- Does discretionary asset management increase or decrease my exposure as compared to non-discretionary asset management?
- What must be considered/addressed when an advisor leaves a B/D or wire-house to start their own RIA firm?
- Is it possible to get coverage if I have had past professional liability claims?
- How do I ensure that I am ERISA compliant?
- What, from a legal standpoint, is really the difference between the fiduciary and suitability standards?
The RIASURE Risk Panel is made available to all clients of Golsan Scruggs on a complimentary (no fee) basis.
