Financial Services & Private Equity

Specialized Insurance for Financial Institutions

Financial services firms — from private equity funds to registered investment advisors — operate under intense regulatory scrutiny and face fiduciary exposure with every client interaction. Neil Jesani Risk Management serves the financial services sector with tailored D&O, E&O, and cyber programs that address the unique regulatory and litigation environment these firms face.

Industry-Specific Risks

◆

SEC and FINRA regulatory investigations and enforcement actions

◆

Fiduciary breach claims from investors and plan participants

◆

Cyber theft and wire fraud targeting financial transactions

◆

Portfolio company liability for PE fund managers

◆

Insider trading allegations and securities fraud

◆

Key person dependency for portfolio managers and deal partners

Recommended Coverage

Directors & Officers (D&O)

Professional Liability / E&O

Cyber Liability & Data Breach

Fiduciary Liability

Crime & Fidelity

Key Person Life Insurance

Industry Statistics

$6.4M

Avg SEC Enforcement Fine

18%

Financial Services D&O Claims Growth

$2.9B

Wire Fraud Losses (Financial Sector, 2024)

Explore More

Related Coverage & Locations

Directors & Officers (D&O) Insurance

D&O insurance protects corporate directors and officers from personal liability arising from management decisions.

Cyber Liability & Data Breach Insurance

Cyber liability insurance covers costs arising from data breaches, ransomware attacks, and other cyber incidents.

Professional Liability / Errors & Omissions (E&O)

Professional liability insurance covers claims arising from errors, omissions, or negligence in professional services.

Fiduciary Liability Insurance

Fiduciary liability insurance covers claims against plan fiduciaries for alleged mismanagement of employee benefit plans.

Crime & Fidelity Insurance

Crime insurance covers financial losses from employee dishonesty, forgery, theft, robbery, and computer fraud.

Manhattan, NY

UHNW Insurance Advisors in Manhattan

Greenwich, CT

Private Client Insurance in Greenwich

Short Hills, NJ

High-Net-Worth Insurance in Short Hills

Palm Beach, FL

Ultra-High-Net-Worth Insurance in Palm Beach

Start Here

Protect Your Financial Services & Private Equity Business

Our team specializes in building comprehensive insurance programs for financial services & private equity companies. Contact us to discuss your specific risks and coverage needs.

Call (800) 755-3469

Discovery

We sit down with you and ask the questions most brokers never do — your assets, your family, your business, your goals.

Strategy

We map your full risk picture and design a coordinated program that strengthens coverage and reduces your total cost of risk.

Execution

We place your program with elite carriers and handle every detail — applications, underwriting, and transitions.

Ongoing Optimization

Your advisor reviews your program as your life evolves — new assets, new ventures, new exposures — so coverage never falls behind.