CalSurance Associates Blog

CalSurance Associates Blog

Thursday, July 24, 2014

Don’t Overpromise and Under Deliver

Making false promises is not only detrimental to a firm’s reputation, but can also lead to E&O exposures. Below are a few ways to ensure you are preventing E&O exposures when it comes to serving clients and expanding business:   

Thursday, July 10, 2014

Complete, Accurate and Timely

“The thing about information is that information is more valuable when people know it.”

Find out how communication can help prevent E&O claims for Broker/Dealers and their Registered Representatives:

Friday, July 4, 2014

Wednesday, July 2, 2014

The SEC and Courts May Consider Events Outside the Five Year Statute of Limitations in Crafting Enforcement Sanctions

By Andrew Dorman and Chetan Patil, Reminger Co., L.P.A.

As a result of the 2008 financial crisis, industry oversight and regulation by the Securities and Exchange Commission ("SEC") has increased significantly.  One aspect of this oversight has focused on a firm or individual's duty to ensure overall compliance, which is a distinct obligation under federal securities laws.  The importance of complying with FINRA and SEC rules was underscored by a recent court ruling that broadened the scope of potentially sanctionable activity to past supervisory violations. Read More…


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