Independent Broker Dealer Consortium

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The Impact of Insurance on Compliance

Welcome back to the Securities Compliance podcast. On today’s show, we do a deep dive on the 2021 Investment Adviser Section Report from the North American Securities Administrators Association highlighting […]

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WHAT A DIFFERENCE A WORD MAKES, IF THAT WORD IS “CLIENT”

The recent GPB Class action suit against 60 independent broker-dealers and several other defendants has revealed a significant gap in coverage for many unsuspecting insureds.  Some carriers have taken the […]

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HOW BROAD IS THE DISCIPLINARY PROCEEDING COVERAGE GRANT UNDER YOUR BD-RIA PROFESSIONAL LIABILITY INSURANCE POLICY?

Recently, several broker-dealers were served with requests for information from a couple of State Securities Divisions concerning the sale of specific private placements under investigation by the SEC for their […]

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Does your professional liability policy exclude coverage for claims arising out of multi employer welfare arrangements?

The DOL is proposing to allow advisers to aggregate new and existing clients in the same geographic area into one common 401(k) plan. RIAs and Broker-Dealers, before you green light […]

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