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Investigation EdgeSM

CFO’s, risk managers and general counsels of publicly traded companies have asked for an insurance solution to manage the risk of being the target of a costly multi-front securities investigation.  That solution is Investigation EdgeSM – the first insurance policy designed specifically to address the costs of companies with public securities in responding to investigation.

Features and Benefits Back To Top

 Includes coverage for:

  • Costs incurred by insured companies in responding to securities law investigations commenced by enforcement authorities during the policy period.
  • Investigations:
    • Initiated by a broad array of enforcement authorities, including the U.S. Securities and Exchange Commission, the U.S. Department of Justice, enforcement units of securities exchanges and similar authorities worldwide.
    • Triggered by self-reporting
    • Into financial, proxy and other required disclosures of companies with public securities as well as insider trading. 
  • Investigation response costs and legally insurable settlement amounts other than fines, penalties and disgorgement.
    • Investigation response costs are broadly defined to include:
    • Legal fees for services provided by pre-approved panel counsel
    • External costs of collecting, reviewing and delivering information and documentation in response to the investigation, including eDiscovery
    • External costs incurred in conducting internal investigations in response to a covered investigation by an enforcement authority
Claims Back To Top

Investigation Edge claims will be handled exclusively by Complex Claims Directors in the Directors and Officers department within Chartis Claims-Financial Lines, each of whom has an average of more than ten years of claims and/or legal experience.  The Complex Claims Directors report to Vice Presidents with more than fifteen years of experience.  The legal work (internal investigations and communications with government enforcement bodies) will be handled by Panel Counsel Law Firms, personally performed by the most experienced securities attorneys in the country.

Our centralized in-house operation, positioned adjacent to our underwriting colleagues, allows us to facilitate prompt case resolution and the best possible claim outcomes. We offer access to some of the nation’s leading law firms specializing in the defense of securities, employment practices, fiduciary and technology claims.  In today’s tough economic and legal climate, policyholders can expect Chartis Claims to provide valuable strategic assistance in litigating with even the most formidable plaintiff’s attorneys.

To report or check the status of a claim, please contact us:
Tel: 888-602-5246
Fax: 866-227-1750
Mail: Chartis
Financial Lines Claims
P.O. Box 25947
Shawnee Mission, KS  66225