Errors & Omissions Insurance (also known as E&O or Professional Liability Insurance) protects the investment advisory firm and employees if they are sued by clients for any actual or alleged negligent act, error or omission, or breach of fiduciary duty committed in the scope of performing or the failure to perform their professional services. Coverage includes legal defense costs even where allegations are baseless.

Directors & Officers Liability Insurance (also known as D&O Insurance) provides coverage for directors and officers of an investment advisory firm for allegations brought by stakeholders for errors in judgment, breaches of duty, and wrongful acts related to the firm’s activities. Since a director can be held personally responsible in some cases, most directors and officers will demand that their organization provide them with D&O Insurance to protect their personal assets.

Learn More about Directors & Officers Liability / Errors & Omissions Insurance

Click here for an Investment Advisor E&O insurance application.


Learn More about Directors & Officers Liability Insurance

Click here for a D&O application.

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