Professional Liability Investment Advisors

NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS ...
ASPNA APPLF 0111 Page 1 of 10 NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS Endorsed Program For: Professional Liability Insurance ... View Document

PRIVATE EQUITY MANAGEMENT LIABILITY POLICY - CNA Pro Home Page
Professional Liability If Insuring Agreement 3 coverage is included as set forth in the Coverage Schedule of the Declarations, Insured Persons and Investment Advisors. PRO-6307-A p Ed. 5/02 Page 2 of 16 . PRIVATE EQUITY MANAGEMENT LIABILITY POLICY 10. ... Fetch Full Source

Aon Solutions For Insurance Advisors
Broker dealer/investment adviser professional liability insurance policy coverage should be closely examined in order to determine that coverage exists definition of a fiduciary. Under this rule, advisors who did not have discretionary authority for the investment of the plan assets could ... Return Doc

The Fiduciary Assessment Of An Investment Advisor
Sponsors can hire investment advisors as co-fi duciaries to their plans, and are required to monitor them. What does a fiduciary the North American Professional Liability Insurance Association (NAPLIA) offer discounts on professional liability premiums to ... Visit Document

NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS ...
ASPNA APPLF(NY) 0512 Page 1 of 10 NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS Endorsed Program For: Professional Liability Insurance ... Content Retrieval

UTMA And UGMA Custodial Account Conversions - Moving To A 529 ...
Considering calling your state’s Section 529 plan sponsor or talking to your investment and tax advisors. Suggested Reading. UGMA and UTMA Basics; Get Professional Help; College Costs News; Ken's Favorite Blogs; Calculators & Quizzes; Glossary & Definitions; Saving for College. About.com; ... Read Article

Compliance Review - Covington & Burling
Ongoing Compliance Updates for Investment Advisors program provides access to professional liability insurance at competitive rates, expanded coverage terms, and limits of liability up to $25 million. For more information visit www.I-A-Solutions.com. ... Read Content

Japanese Startup Moneytree(TM) Closes US$1.6M Seed Round Funding From Digital Garage And Private Investors
Moneytree™, a mobile financial technology startup headquartered in Japan, today announced a US$1.6m seed round in funding led by DG Incubation Inc., the investment subsidiary of prolific Japanese tech ... Read News

MUTUAL FUND PROFESSIONAL AND DIRECTORS & OFFICERS AND ...
Insured means Organizations, Insured Persons and Investment Advisors. 10. Insured Persons means: a. with respect to any Organization which is a corporation, MUTUAL FUND PROFESSIONAL AND DIRECTORS & OFFICERS AND INVESTMENT ADVISORY PROFESSIONAL LIABILITY POLICY ... Read Document

NORTH AMERICAN PROFESSIONAL LIABILITY INSURANCE AGENCY, LLC ...
North American Professional Liability Insurance Agency, LLC 161 Worcester Road, Suite 504, Framingham, MA 01701 (ph) 866- 262-7542 (fax) 508-656-1399 Investment Advisors are rewarded for their achievement with professional liability insurance discounts, and NAPLIA has ... Retrieve Content

Conflict Of Interest - Conflict Of Interest Policy - Board ...
Liability Insurance - Director OFficer Liability Insurance - Directors and Of Directors - Director Compensation - Board Member Compensation; Suggested Reading. Conflict of Interest - Conflict of Interest Defined; Ownership of Corporations; ... Read Article

Proper Insurance Coverage Should Not Be An Afterthought In ...
INVESTMENT ADVISOR SERIES . Proper Insurance Coverage . Should Not Be An Afterthought . In The Plan Sponsor’s RFP Process . Presented by . North American Professional Liability Insurance Agency, LLC (NAPLIA) ... Doc Viewer

NYAPP 01 -- ACCOUNTANTS APPLICATION
No. of Financial Advisors. Last Year 20 $ % % Present Year 20 $ % % Projected for next Year 20 $ % % cancelled or nonrenewed any Investment Adviser Professional Liability Insurance or any similar insurance on behalf of any person(s) or organization(s) proposed for this insurance? ... View This Document

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CPA, Certified Public Accountant. Certified Public Accounting Firm Specializing In Personal Financial Planning, Business Tax Planning Definition of Certified Public Accountant: A CPA is a professional accountant licensed by the state. Best for corporate accounting, tax audits, and ... View Video

APPLICATION FOR: Return Applications To: REGISTERED ...
REGISTERED INVESTMENT ADVISOR PROFESSIONAL LIABILITY INSURANCE (RISKS WITH ANNUAL REVENUES OF $ Does the Applicant employ other Financial Advisors or utilize independent contractors to give Has any Errors & Omissions or Professional Liability Insurance issued to the Applicant ever ... Read Full Source

Investment Management Insurance - American International ...
InsuranceforInvestmentManagers&Advisors The risks facing investment professionals today are enormous. In a volatile stock market with high profile economic failures, targeted protection against professional liability and management liability claims. ... Retrieve Content

CENTER FOR DUE DILIGENCE P.O. Box 8 (630) 662-0284 Fax (630 ...
Professional liability insurance is available for a number of different types of investment advisors and Investment Advisors, RIA’s, Registered Representatives, Investment Consultants, TPAs, Recordkeepers, Trustees, Broker-Dealers, Pension Consultants, Litigation Consultants and ... Read More

PROFESSIONAL ADVISORS GROUP, LLC Complete Financial Management
PROFESSIONAL ADVISORS GROUP, LLC Complete Financial Management Investment Management Portfolio Construction Asset Allocation Purchase/Sale Speci˜c Securities ... Read Document

Tax Avoidance - Wikipedia, The Free Encyclopedia
Foreign Leveraged Investment Program (FLIP) and a total of 94 corporations faced a net liability of less than half the full 35% there have been numerous decisions, with inconsistent approaches, and both the Revenue authorities and professional advisors remain quite ... Read Article

Yorkville High Income MLP ETF (NYSE: YMLP) Declares Quarterly Distribution
The Yorkville High Income MLP ETF has declared its quarterly cash distribution at $0.410742 per share . The distribution will be paid ... Read News

Professional Liability Insurance For Financial Advisors ...
Professional Liability Insurance for Financial Advisors Registered Investment Representative Exempt Market Dealing Representative Item 7 ENDORSEMENT(S): 1- Item 8 PREMIUM: Professional Liability Insurance for Financial Advisors ... Read Here

Family Office/Wealth Management Professional Liability Insurance
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The Hedge Fund & Investment Advisor’s Guide To D&O / E&O ...
Hedge Funds & Investment Advisors have an even higher level of concern when it comes to liability and how contained in an Investment Advisor, Fund Professional and Directors and Officers Liability Insurance Policy, ... Read Content

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A financial planner is a practising professional who prepares financial planning for people covering various aspects of personal finance which includes: cash flow management, education planning, retirement planning, investment planning, risk management and insurance planning, tax ... View Video

THE INVESTMENT INDUSTRY’S GUIDE TO INSURANCE COVERAGE AND TERMS
PROFESSIONAL LIABILITY INSURANCE— See ERRORS & OMISSIONS LIABILITY INSURANCE. 3. and investment advisors all rely on us to obtain the broadest coverage at competitive rates. Contact Liftman Insurance today to see how you can benefit from our vast experience and commitment to ... Get Document

TRAVELERS SELECTONE FOR INVESTMENT ADVISORS AND FUNDS
Investment Advisors Professional Liability Investment Advisors offer a variety of services to clients, ranging from tailored advice on stocks, bonds and mutual funds to managing securities ... Return Document

Erors & Omissions Insurance
E. r rors & Omissions Insurance. Professional liability coverage for the following: • Registered Investment Advisors • Investment Advisory Representatives ... Fetch Document

Silvercrest Asset Management Group Inc. Reports Q3 2013 Results
NEW YORK, Nov. 13, 2013 /PRNewswire/ -- Silvercrest Asset Management Group Inc. (NASDAQ: SAMG) (the "Company" or "Silvercrest") today reported the results of its operations for the ... Read News