The laws and regulations within the financial services industry are consistently changing and it is important to stay up to date with areas to be concerned about. People rely on their advisors in the financial services industry for advice in many different areas. Whether you are a CPA, Attorney, Community Bank, Investment Advisor, or other form of advisor in the industry, along with giving your advice comes risk. No matter what type of financial management or advisement you provide, there are various ways you can protect yourself.

Some examples of risks that our clients face in this area include:

  • Cyber Risk and Information Security Breaches
  • Check Fraud
  • Electronic Funds Transfer Fraud
  • Fiduciary Liability
  • Lender Liability
  • Professional Liability Errors and Omissions
  • Fair Credit Reporting Act
  • Debt Collection Practices

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Need more information? We have lots of resources designed to help you navigate what you need for your particular industry.