Errors and Omission Insurance Available Exclusively to Our Compliance Consulting Program Clients

As an RIA, you are a professional and need to protect yourself with Errors and Omission Liability Insurance, often referred to as E&O Insurance. E&O Insurance, in short, helps protect you if you make a mistake that results in a claim against you.

Claims against you or your firm may arise from several places:

• Regulatory error
• Client complaints
• Breach of fiduciary duty
• Transaction error

Even if you know you are in full compliance with all regulations, and you offered and delivered excellent advice and service to clients, there is still a chance that a claim can be filed — even years later. Having E&O coverage in place provides a necessary comfort in a highly stressful situation.

RIA Registrar sponsors a program for E&O Insurance for RIAs on our compliance program. The E&O coverage offered through us is appropriate for state and SEC-filed RIA firms. Keep yourself and your firm safe with E&O Insurance.