Financial Services Intermediaries Professional Liability Exposures

In this short clip from the 2014 PLUS Conference session “PLI Exposures for Financial Services Intermediaries,” Richard Weber of The Ethical Edge discusses the SEC’s attempts to harmonize the differing standards to which registered representatives and investment advisors are held.


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The Professional Liability Underwriting Society (PLUS) was founded in 1986 by industry professionals who recognized the need for a forum for individuals involved in the field of professional liability. The Society is a non-profit organization with membership open to persons interested in the promotion and development of the professional liability industry. Membership consists of over 6,500 individuals, representing over 1,000 companies active in the many fields of professional liability. PLUS currently receives the support of more than 200 companies through corporate membership. PLUS is recognized as the primary source of professional liability educational programs and seminars, assistance to its members to help serve clients, and information regarding professional liability. The Society is continually seeking new means to fulfill its mission statement and better serve its members.

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