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Insurance Agent Interests
The Top Three Risks of Not Having Errors and Omissions Insurance

August 31, 2018

Do you own or operate an insurance or real estate agency? Are you a solo insurance agent or real estate agent or broker? Then you’re likely familiar with the potential risks you face from customers who claim you’ve done them financial harm. However, being aware of these risks and actually protect...

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Investment Advisor Interests
Is Documentation A Blessing Or Curse For Financial Advisors

August 16, 2018

Documentation—the practice of summarizing every key client conversation and decision in writing—is a crucial part of your day. It not only produces a paper (or electronic) trail of your regulatory compliance, it helps to support your legal defense in case a cl­ient sues you.  For these reasons, c...

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Insurance Agent Interests
The Five Benefits Of Errors And Omissions Insurance

July 25, 2018

What Every Advisor Needs to Know about Errors and Omissions Insurance People new to business often confuse a product’s features with its benefits. For example, if you were to ask a new life insurance agent what the benefits of errors and omissions insurance are, he ...

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Insurance Agent Interests
Learn Why Insurance Professionals Need A Personal Code Of Ethics

April 12, 2018

Principled Selling: Why Insurance Professionals Need a Personal Ethics Code The demands placed on life, health, P&C agents, and investment advisors can be intense. But even worse, they can be in conflict with each other. Your client may want you to do something that y...

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Insurance Agent Interests
Questions To Make Sure You Are Not Breaking Anti Rebating Rules

February 28, 2018

Beware Illegal Gifts... and Not Just During the Holidays Not all gifts are wise, especially if you’re an insurance agent. That’s because giving something of value to prospects and clients can lead you to violate your state’s anti-rebating statutes. And this can land you a...

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Investment Advisor Interests
Do I Really Need E&O If I Just Became A Registered Investment Advisor

December 5, 2017

Are you a new registered investment advisor (RIA)? Then you know the process of setting up an investment-advisory firm is no simple matter. Whether you’re licensed with the Securities and Exchange Commission (SEC) or with a state securities administrator, establishing a firm that complies with fe...

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