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How Argo Pro Helps Educate Investment Advisers on SEC Compliance

The team’s expertise and coverage options help firms stay current with ever-changing rules.

For investment advisers, keeping up with evolving rules and regulations can be a costly, time-consuming process. By partnering with Argo Pro, however, investment advisers can better understand SEC compliance thanks to a knowledgeable legal team and tailor-made coverage options.

“The SEC has become very active,” says Rich Fachet, SVP of Underwriting, Head of Financial Institutions at Argo Pro. “It’s a very important time for investment advisers and funds to have the right preparations in place to address active regulatory supervision.”

Here’s how an Argo Pro partnership can help investment advisers understand SEC compliance.

  • The Argo Pro team actively implements policy responses to new SEC rules. “Right now, we’re headed into a heightened stage of regulation and oversight,” says Fachet. “We stay in front of regulatory changes and ensure we know what exposures may add new vulnerabilities to a registered investment adviser’s operations.”
  • Specialized coverage options can help investment advisers maintain SEC compliance. Argo Pro offers coverage dedicated to the needs of investment advisers that can also help advisers comply with regulations. One unique coverage option even reimburses a portion of a registered investment adviser’s expense when using third-party compliance firms.
  • Specialized claim attorneys work with insureds as trusted partners. Knowledgeable claim attorneys at Argo Pro do more than manage claims. They also serve as a resource for partners who need help understanding how a regulation can affect the claim outcome. “They’re here to listen, answer questions and function as a resource for our insureds,” says Fachet.

Stay ahead and stay compliant with Argo Pro

Review your policy with your agent to make sure you have the coverage you need to protect yourself from new rules. Then, learn more about partnering with Argo Pro to help your firm comply with SEC rules and stay ahead of regulatory changes.

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