Specialist insurance solutions for the financial and corporate advisory sectors, designed to protect advisory firms, regulated entities and their leadership teams.
Specialist insurance solutions for the financial and corporate advisory sectors, designed to protect advisory firms, regulated entities and their leadership teams.
Specialist Risk Group (SRG) brings extensive experience and deep expertise across governance, regulatory exposure, and professional risk within financial and corporate advisory environments. We focus on understanding advisory mandates, client reliance, transaction complexity, and leadership accountability, and structure insurance programs aligned to the realities of advisory practice.
Financial and corporate advisory firms operate in environments where judgement, accuracy and trust are central to client relationships. Regulatory scrutiny, complex transactions, and heightened stakeholder expectations increase exposure across professional, governance, and reputational risk. Errors, disputes, or compliance failures can escalate quickly, resulting in claims, investigations, and reputational damage.
Claims arising from errors, omissions, misstatements, or alleged failures in financial or corporate advice.
Risk arising from M&A, capital raising, restructuring, valuation and complex transaction activity.
Management liability and statutory risk related to regulatory investigations, enforcement actions, and compliance breaches.
Complaints, disputes, or allegations of misconduct affecting client confidence and reputation.
Claims involving directors, partners and senior leadership for governance or management decisions.
Cyber incidents, data compromise, and system failure affecting sensitive client and transaction information.
We support a range of financial and corporate advisory firms, including:
Our approach is tailored to each organisation we work with. We commonly arrange the following protection for Financial and Corporate Advisory Firms.
Protection against claims arising from errors, omissions, or negligence in financial or corporate advisory services.
Protection for directors, partners, and executives from claims relating to governance decisions, regulatory action, or alleged mismanagement.
Bundled protection for governance, employment practices, statutory liability, internal crime and optional tax audit exposures.
Coverage for data breaches, cyberattacks, ransomware, and digital disruption affecting confidential client or transaction data.
Coverage for injury or property damage claims arising from business operations, meetings or, third-party interactions.
Protection against employee dishonesty, fraud, theft, or financial loss caused by internal misconduct.
Coverage against harassment, discrimination, unfair dismissal, or workplace misconduct claims.
Protection for revenue and operating costs if advisory operations are disrupted by insured events or system outages.
Coverage for defence costs and penalties (where insurable) arising from unintentional breaches of legislation or regulation.
Protection for liabilities arising from engagement letters, advisory agreements, and transaction mandates.
Most advisory firms require Professional Indemnity (PI), Management Liability (including D&O and Employment Practices Liability), and Cyber insurance, structured to reflect advisory mandates, transaction exposure, and regulatory obligations.
Professional Indemnity (PI) protects against claims alleging errors, omissions, misstatements, or failures in advice, which can arise from client reliance on financial, corporate, valuation, or strategic recommendations.
Yes. Directors, partners, and senior executives can face personal exposure from governance decisions, regulatory action, or stakeholder claims, making D&O insurance a critical component of advisory risk management.
Yes. Advisory firms hold highly sensitive client, financial, and transaction data. Cyber insurance supports incident response, data breach management, business interruption, and regulatory notification obligations.
Yes. Programs are tailored based on firm size, transaction complexity, client profile, regulatory exposure, and partner structure, rather than using a one-size-fits-all approach.
Policies can be structured to reflect international client work, overseas transactions, and jurisdictional exposure, including appropriate territorial limits and governing law considerations.
Professional Indemnity (PI) policies can respond to claims arising from deal execution, valuations, due diligence, capital raisings, or restructuring advice, subject to policy wording, transaction scope, and timing considerations.
Contractual Liability extensions can help respond to liabilities assumed under engagement letters or advisory agreements, subject to underwriting review and alignment with professional standards.
Yes. Professional Indemnity and Management Liability policies can respond to formal claims, disputes, or allegations that arise from advisory services, governance decisions, or professional conduct.
Insurance supports firms during reputational events by funding expert crisis management and providing rapid access to PR, legal, and advisory specialists who help contain, manage and repair brand damage. This support is built into several policy classes - most commonly Management Liability, Cyber Liability and dedicated Reputation/Crisis Management extensions. Cover is triggered by specific insured events such as investigations, cyber incidents, executive misconduct or major operational failures.
Employment Practices Liability insurance can cover claims such as unfair dismissal, discrimination, harassment, or workplace misconduct involving employees, partners, or contractors.
Management Liability policies can cover defence costs associated with regulatory inquiries, investigations, or enforcement actions, depending on the nature of the allegation and policy terms.
Key factors include claims history, revenue mix, transaction size, service scope, governance framework, regulatory environment, and the firm’s risk management controls.
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