Corporate E&O for Mutual Fund Dealerships Protects Against Legal Action/Claims from:
  • Suits arising from the conduct of a former broker/agent
  • Loss arising from the conduct of an unlicensed agency representative
  • If an agent/broker fails to maintains personal E&O coverage
  • When the agency/firm is named solely in a claim
  • Losses arising from negligence including failure to supervise
Key Features
  • Coverage and Liability Limits dedicated to the corporation
  • Parent-Subsidiary Coverage
  • Branch Office locations coverage
  • Travel Insurance activities
  • Option to combine Office Contents/Property Coverage
  • Option to combine Commercial General Liability Insurance
Financial Institution Bonds (Form B or 14)
  • Designed for firms in all the National Instrument 31-103 registration categories of Adviser, Dealer, or Investment Fund Manager Key Features
  • Meets all MFDA regulatory requirements
  • Discovery Rider/Provisions available
  • Fidelity: loss due to dishonest or fraudulent acts of agents or employees
  • On Premises: Any loss of cash and/or securities or other property through robbery, theft, fraudulent means, or damage or destruction.
  • In Transit and Mail: Any loss of cash, securities, or other property while in transit or in the mail.
  • Forgery or Alterations: Loss through forgery or alteration of instruments such as cheques, drafts, promissory notes or others.
  • Securities Extension: Loss through having purchased, acquired, sold or delivered, or acted upon securities other written instruments which prove to have been forged, counterfeited, altered, etc.

Advocis Broker Services | 390 Queens Quay West, Suite 210, Toronto, ON M5V 3A2 | (416) 646-9888
(877) 646-9888