EO Headquarters

Our E&O HQ provides insight, guidance, and resources enabling ethical business practices and claim avoidance. Stay on top of the latest news, trends, & compliance at our E&O Headquarters sponsored by National Ethics Association. For more resources visit our sponsor’s Consumer Hub & Ethics Center pages.

Good Business: 20 More Tips for Lowering Your E&O Risk

Posted by: alexpersegona on March 21, 2014

By the National Ethics Association As a financial advisor, you’ve no doubt read a compliance manual or three in your time. These documents are typically rule-driven, which means they can be long and dense to work with. The good news: You can also lower your errors-and-omissions insurance risk by adopting ethical values and business practices. […]

Good Business: 20 More Tips for Lowering Your E&O Risk

Posted by: NFY on August 13, 2014

By the National Ethics Association As a financial advisor, you’ve no doubt read a compliance manual or three in your time. These documents are typically rule-driven, which means they can be long and dense to work with. The good news: You can also lower your errors-and-omissions insurance risk by adopting ethical values and business practices. […]

20 More Quick Tips for Lowering Your E&O Risk in 2014

Posted by: stacia on February 11, 2014

Good news: You can also lower your errors-and-omissions insurance risk by adopting ethical values and business practices. This article (Part 2) provides 20 more quick pointers for doing just that. Watch for more parts in the coming weeks.

Avoid Fear-Based Selling to Reduce Buyer’s Remorse and Complaints

Posted by: alexpersegona on January 22, 2014

Many agents spread lies about Social Security, Medicare, or FDIC insurance in order to move prospects from CDs into annuities.

Top 20 Ways to Lower Your E&O Risk in 2014

Posted by: alexpersegona on August 14, 2014

As a financial advisor, you’ve no doubt read a compliance manual or three in your time. These documents are typically rule-driven, which means they can be long and dense to work with. The good news: You can also lower your errors-and-omissions insurance risk by adopting ethical values and business practices. This article (Part 1) provides […]

Don’t Let Bad Bosses Create E&O Nightmares, Part 2

Posted by: alexpersegona on December 11, 2013

“Gray hat” bosses, i.e., people who may not ask you to break the law or do anything grossly unethical, but who urge you to bend the rules? Yes, “gray hatters” can be challenging.

Don’t Let Bad Bosses Create E&O Nightmares, Part 1

Posted by: alexpersegona on December 11, 2013

All bosses either wear white hats (play totally by the book), black hats (burn the book if it impedes sales), or gray hats (read only those pages that fit their purposes).

Unethical Competitors: Time to Remove the E&O Threat?

Posted by: alexpersegona on November 14, 2013

Is it time to blow the whistle? Perhaps, but don’t do so without thinking through the consequences. One is potentially attracting regulator scrutiny by stepping forward. Such is our distrust of government institutions these days that many people would rather ignore wrongdoing than risk making themselves known to authorities.

Partner with Care: Avoid Weak Links to Prevent E&O Lawsuits

Posted by: alexpersegona on October 28, 2013

One of the best ways to avoid e&o lawsuits is to protect your business by being selective in who you partner with. A recent Congress hearing give examples of how to avoid the weakest partner organizations.

Do Your Due Diligence When Buying E&O Insurance from Your BD, RIA, or FMO

Posted by: Harry on August 14, 2014

Deciding which broker-dealer (BD), financial marketing organization (FMO), or registered investment advisor (RIA) with whom to affiliate is never a trivial matter. Typically, financial advisors and insurance agents choose to contract with those organizations that provide the optimal mix of payout, product choice, marketing support, technology prowess, sales/marketing assistance, and compliance expertise. However, many advisors […]

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