What documents help an insurer review asset access and transfers?

1. 1
   17 CFR § 275.206(4)-2 — Custody of funds or securities of clients by investment advisers — Electronic Code of Federal Regulations; Securities and Exchange Commission rule. Paragraphs (a)–(d) and (g); authoritative but unofficial eCFR display, current through 2026-09-24; accessed 2026-09-28.Current custody-rule text and its defined adviser scope; eCFR identifies itself as authoritative but unofficial.
2. 2
   17 CFR § 275.204-3 — Delivery of brochures and brochure supplements — Electronic Code of Federal Regulations; Securities and Exchange Commission rule. Paragraphs (a)–(c) and (e); authoritative but unofficial eCFR display, current through 2026-09-24; accessed 2026-09-28.Current adviser brochure-delivery rule and stated exceptions; not evidence of coverage.
3. 3
   Small Business Insurance — National Association of Insurance Commissioners. General liability, what it does not cover, and other business insurance types; accessed 2026-09-28.General distinctions among E&O, crime, cyber, and employment-practices lines; not financial-services wording.
4. 4
   Insurance Topics | Cybersecurity — National Association of Insurance Commissioners. Cyber risks and cyber insurance; page background last updated May 9, 2024; accessed 2026-09-28.General cyber customization context; not an asset-manager claim interpretation.
5. 5
   Commercial Insurance Guide — California Department of Insurance. Form 700, revised June 14, 2024; commercial property and covered causes, crime, commercial general liability, time element, workers compensation, and rating sections; accessed 2026-09-28.California commercial examples for crime, CGL, property, and quote review; not a national custody or bond rule.
6. 6
   Asset Management Protector — Chubb. Asset Management Protector Premier overview; state availability varies and the issued policy controls; accessed 2026-09-28.Named U.S. asset-management offering; check state availability and actual issued terms.
7. 7
   Chubb Asset Management Protector Premier Policy Guidebook — Chubb. Private-company D&O and professional-liability part, including Investment Adviser Liability; private-fund clauses for fund/insured-person liability and fund-manager professional liability; declarations; claims-made sample; defense-cost and retention terms; accessed 2026-09-28.Sample private-company and private-fund clauses, declarations, claims-made terms, defense costs, and retention; only selected clauses apply.

Further Reading

• FTC Safeguards Rule: What Your Business Needs to KnowLimited FTC-jurisdiction examples for some advisers; does not apply to every adviser.