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Financial and Professional Liability

Initial Public Offerings (IPOs)


The initial public offering (IPO) process can represent a significant milestone for a company, and be the culmination of years of work by its owners and senior executives. But, the journey from private to public company is full of new risks and exposures.

Managing Risk

A company’s profile will materially change as it becomes subject to federal securities laws which can apply as early as when soon-to-be-public companies first make their case to potential investors, in the form of registration statements, prospectuses, and roadshow presentations.  It can also face exposure to risks relating to patents, trademarks, copyrights, and trade secrets. And, the personal assets of a company’s directors and officers, including their spouses and estates, face significant exposures and increased scrutiny from regulators, plaintiffs’ attorneys, and the public.

“ …to ensure you have the right insurance coverage before you launch an IPO, companies need to differentiate their risk profile and demonstrate public company preparedness.” Hema Mistry, West Zone FINPRO Leader, Marsh Specialty

Marsh's Continued Collaboration with the NYSE

To help organizations understand and address the risks and exposures as they launch their IPO journey, Marsh has collaborated with the New York Stock Exchange (NYSE)  to contribute content on managing risk - class action and derivative lawsuits; Directors & Officers (D&O) liability insurance; and, personal risk management for the NYSE IPO Guide, 3rd Edition. 

Class action and derivative lawsuits - Imagine the shock if your newly public company were to be served with a federal securities class action lawsuit within three days following the initial public offering (IPO).  Download the guide  for more information about direct class actions, shareholder derivative suits and the frequency and severity of class action suits.

D&O liability insurance - Despite doing everything right, The IPO process adds significant exposure to the personal assets of a company’s directors and officers. Are you covered, or exposed? Download the guide to learn more about constructing a D&O program leading into an IPO.

Personal risk management - Post IPO your new high-net-worth lifestyle requires a new way of thinking about risk. And because you and your company will now be more prominent, it is imperative to have total coordination between your business and estate plans. Download the guide to learn about protecting yourself, and your assets.

For more information about IPOs, please contact Michelle Sartain, Matthew McLellan, Hema MistryKerri Petri or CL Proferes.