Publications

Frequently Asked Questions

Question: What information is required for an E&O / D&O policy?

Answer: The following information is required to obtain quotes for an E&O / D&O policy:

• Fully completed and signed application, including schedule of funds with AUM for each
• PPM for each fund
• Latest audited financial statement + interim statement for the investment adviser (business plan and/or pro-forma statement if start-up)
• Historical performance of fund(s)
• Resumes/CVs of investment adviser principals
• "Road Show" presentations, if any
• URL of website, if any
• Summary and status of any litigation filed within the last five (5) years against any person(s) or entity(ies) proposed for this insurance (including any litigation that has been resolved)
• Employee Handbook for investment adviser entity (if Employment Practices Liability coverage is desired)