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…
All
information provided in this blog is for informational purposes only. The
sources used are presumed accurate. CalSurance Associates, Brown & Brown
Program Insurance Services, Inc. and Brown & Brown, Inc. will not be liable
for any errors, omissions, losses, injuries or damages arising from its display
or use and will not assume responsibility for any misguided information. No
guarantees are implied.
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