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Since the credit crisis, enforcement of securities laws has become a top priority in Canada, the U.S. and abroad. Enforcement collaboration is becoming the norm and regulators like the U.S. Securities and Exchange Commission and the U.K. Financial Services Authority have stepped up their investigation activity. This increased focus on violations of securities laws has placed companies with publicly traded securities at increased risk of becoming the target of a costly, multi-front securities investigation.

The first policy of its kind, Investigation Edge® can specifically address the cost of responding to securities investigations of publicly traded companies.

Features & Benefits

  • Responds to a securities investigation by a wide array of enforcement authorities worldwide, including the U.S. Securities and Exchange Commission, Department of Justice, enforcement units of securities exchanges and investigations triggered by self-reporting

  • Coverage for legally insurable settlement amounts other than fines, penalties, disgorgement or remediation

  • Optional coverage for FCPA and entity derivative investigation available to qualified insureds for additional premium

  • Coverage for costs associated with securities investigations by enforcement bodies, whether formal or informal, which are not normally covered under traditional directors & officers policies

Coverage

  • Investigations of suspected securities law violations arising from financial, proxy and other required disclosures as well as insider trading

  • Legal fees, discovery and eDiscovery costs and fees and expenses of panel counsel in conducting an internal investigation in response to a covered securities investigation

  • Available limits up to $25 million