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)
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