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Proposed bulletins

Public comments

The bulletins below are in the process of development by the Division of Financial Regulation (DFR). The division is asking for public review and comment as part of that process. All comments received will be given full consideration and a final report discussing our general response as applied to the bulletin’s final version will be released.

Submit comments

Comments can be submitted in the following ways (Please include the bulletin number or name in the subject line of your comment):

Email:
dfr.bulletin@dcbs.oregon.gov

Mail:
Department of Consumer and Business Services
Division of Financial Regulation
350 Winter St. NE
P.O. Box 14480
Salem, OR 97309-0405

Proposed bulletins

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​​​​Errors and omissions liability coverage for state licensed investment advisers​

To: All Oregon-based professional liability insurance producers

The Oregon Division of Financial Regulation (DFR) wishes to publish a bulletin regarding errors and omissions liability coverage for state licensed investment advisers.

Summary:
This bulletin provides guidance to Oregon-based professional liability insurance producers regarding errors and omissions insurance coverage required for state investment advisors under Oregon Revised Statute (ORS) 59.175(5). In order to meet the requirements, policies may not exclude investment advice or other management services performed by the investment advisor.

Draft Bulletin: Errors and omissions liability coverage for state licensed investment advisers

Last day for public comment: Friday, Sept.​ 23, 2022, 5 p.m.

This is a 30 day public comment period. Please submit your public comments to DFR.Bulletin@dcbs.oregon.gov.


​​​​​Errors and omissions liability coverage for investment adviser firms

To: All Oregon-based state investment adviser firms

The Oregon Division of Financial Regulation (DFR) wishes to publish a bulletin regarding errors and omissions liability coverage for investment adviser firms.

Summary:
This bulletin provides guidance on the insurance coverage requirements under Oregon Revised Statute (ORS) 59.175(5). Issues include: obtaining adequate coverage for management services performed; submitting the attestation and proof of policy required by Oregon Administrative Rule (OAR) 441-175-0185; updating the Division of Financial Regulation when there are changes to the policy.

Draft Bulletin: Errors and omissions liability coverage for investment adviser firms

Last day for public comment: Friday, Sept.​ 23​, 2​022, 5 p.m.

This is a 30 day public comment period. Please submit your public comments to DFR.Bulletin@dcbs.oregon.gov.