ABS

From volatile markets to unrealized client expectations the business of managing investment portfolios is becoming more complex and riskier.

Fund Management Firms and Managers face ever increasing scrutiny from clients and regulators resulting in an unprecedented potential for professional and management liability exposures many of which can lead to devastating legal action or costly regulatory proceedings.

Even if you've actually done nothing wrong unrealistic expectations and losses from market volatility can result in legal action being brought against a firm, individual manager, or both. No matter the accusation in the face of legal action against you defence alone can cost significant sums of money, damage reputation, and affect your bottom-line.

Protect your company and fund managers from:
  • Claims by clients for breaches of investment guidelines
  • Prospectus liability claims against mutual fund directors, advisers, and service providers
  • Regulatory investigations into alleged trading violations
  • Claims alleging failure to disclose risks or conflicts of interest
  • And more
For Asset Management Firms
  • Professional Liability Insurance
  • Directors & Officers Liability (for both public and private companies)
  • Employment Practices Liability
  • Fiduciary Liability
For Investment Funds
  • Investment Company Professional Liability and Directors & Officers Liability
  • Private Fund Professional Liability and Directors & Officers Liability
  • Address the full range of asset management industry organization models, products, and services.
  • Can be customized to various business models and corresponding insurance needs.
Liability Limits can be tailored to your individual firm’s or manager’s needs.

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