Compliance Insights

Compliance Reviews

Key insurance considerations for investment advisors

Perhaps the most critical form of insurance for investment advisors is professional liability insurance, also known as errors and omissions (E&O) insurance. It’s important to understand how these policies work, which risks are covered, and how to secure a policy with favorable language.  This will help place you in the best position to preserve your assets and minimize disruption to your business.

What has changed: New considerations for serving aging clients

As people live longer, healthier lives and more baby boomers approach retirement, the population of individuals 65 and older in the United States continues to increase dramatically. It’s therefore essential that firms be proactive in implementing a thoughtful, dynamic process for serving aging and vulnerable clients.

Regulatory expectations and compliance considerations for the use of cloud services

The adoption of cloud computing continues to rise across all businesses, and advisory firms are no exception. This white paper examines important areas for you to assess when using cloud services. 

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