Fillable BUSINESS-RELATED ACTIVITIES SUPPLEMENTAL APPLICATION (Risk Placement Services, Inc.)

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BUSINESS-RELATED ACTIVITIES SUPPLEMENTAL APPLICATION (Risk Placement Services, Inc.)

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MALP 0004 07 13 Page 1 of 2
BUSINESS-RELATED ACTIVITIES SUPPLEMENTAL APPLICATION
APPLICANT’S INSTRUCTIONS:
This form is to be completed if Applicant answered affirmatively to any part of question 3.b. of Section II, Applicant’s
Practice, of the policy Application. If space is insufficient to answer any question fully, attach a separate sheet. Answer all
questions completely.
APPLICANT:
1.
Discretionary investment authority over client funds (except for wills and trusts):
Not Applicable
a. What are the dollar amounts involved?
$
b. What is the duration in time that an attorney has acted in this capacity for each specific
client?
c. Is the investment authority at the attorney’s discretion or are there specific, limiting (written)
criteria to which the attorney must adhere? If written criteria, please attach a sample.
Discretion
Written
2.
Due diligence on behalf of a prospective buyer of a business:
Not Applicable
a. Please explain what activities the attorney has performed in this regard.
b. Has the attorney limited the scope of his/her due diligence services in writing via engagement
letter or otherwise?
Yes No
c. Has the attorney’s due diligence activity involved investment valuation or opinions regarding
valuation?
Yes No
3.
Drafting or negotiation of terms of a buy-sell agreement involving cash or stock, relative to
the purchase of any business, corporate stock or assets or any commercial property or
real estate, where the values involved were $5,000,000 or more:
Not Applicable
a. Did the Applicant negotiate and draft the terms of the buy-sell agreement?
Yes No
b. Was the other party to the sale represented by their own independent counsel?
Yes No
c. Was the Applicant responsible for arranging any financing or loans involved in the buy-sell
agreement?
Yes No
4.
Acceptance by the Applicant of compensation on a commission basis or based on dollar
value of sale.
Not Applicable
a.
Describe the details of the arrangement by which compensation will be provided to the
Applicant on this basis.
b. How many times has the Applicant accepted this form of compensation in the past twelve (12)
months?
c. Does the Applicant have internal guidelines concerning the acceptance of compensation on
this basis?
Yes No
I understand the information submitted herein becomes a part of my Professional Liability Insurance Application and is
subject to the same representations and conditions.
Notice to Florida Applicants: Any person who knowingly and with intent to injure, defraud, or deceive any insurer files a
statement of claim or an application containing any false, incomplete or misleading information is guilty of a felony in the
third degree.
Notice to New York Applicants: Any person who knowingly and with intent to defraud any insurance company or other
person files an application for insurance or statement of claim containing any materially false information, or conceals for
Broker Name
Broker Street
Broker City, State, Zip
Deerfield Insurance Company
Evanston Insurance Company
Essex Insurance Company
Markel American Insurance Company
Markel Insurance Company
Associated International Insurance Company
MALP 0004 07 13 Page 2 of 2
the purpose of misleading, information concerning any fact material thereto, commits a fraudulent insurance act, which is a
crime, and shall also be subject to a civil penalty not to exceed five thousand dollars and the stated value of the claim for
each such violation.
Signature of Owner, Officer or Partner Print or Type Name and Title Date (month-day-year)
Producers Must Complete:
Produced By (Insurance Agent or Broker):
Producer Name: Producer Signature:
Producer License No.: Date:
Notice to Alabama Applicants; Any person who knowingly presents a false or fraudulent claim for payment of a loss or
benefit or who knowingly presents false information in an application for insurance is guilty of a crime and may be subject to
restitution, fines, or confinement in prison, or any combination thereof.
Notice to Arkansas, District Of Columbia, New Mexico, Rhode Island And West Virginia Applicants: Any person who
knowingly presents a false or fraudulent claim for payment of a loss or benefit, or knowingly presents false information in an
application for insurance is guilty of a crime and may be subject to fines and confinement in prison.
Notice to Colorado Applicants: It is unlawful to knowingly provide false, incomplete, or misleading facts or information to an
insurance company for the purpose of defrauding or attempting to defraud the company. Penalties may include imprisonment,
fines, denial of insurance and civil damages. Any insurance company or agent of an insurance company who knowingly
provides false, incomplete, or misleading facts or information to a policyholder or claimant for the purpose of defrauding or
attempting to defraud the policyholder or claiming with regard to a settlement or award payable for insurance proceeds shall be
reported to the Colorado Division of Insurance within the Department of Regulatory Agencies.
Notice to Kansas Applicants: It is unlawful to commit a “fraudulent insurance act” which means an act committed by any
person who, knowingly and with intent to defraud, presents, causes to be presented or prepares with knowledge or belief
that it will be presented to or by an insurer, purported insurer, broker or any agent thereof, any written statement as part of,
or in support of, an application for the issuance of, or the rating of an insurance policy for personal or commercial
insurance, or a claim for payment or other benefit pursuant to an insurance policy for commercial or personal insurance
which such person knows to contain materially false information concerning any fact material thereto; or conceals, for the
purpose of misleading, any information concerning any fact material thereto.
Notice to Kentucky Applicants: Any person who knowingly and with intent to defraud any insurance company or other
person files an application for insurance containing any materially false information or conceals, for the purpose of misleading,
information concerning any fact material thereto commits a fraudulent insurance act, which is a crime.
Notice to Maine, Tennessee, Virginia and Washington Applicants: It is a crime to knowingly provide false, incomplete or
misleading information to an insurance company for the purpose of defrauding the company. Penalties may include
imprisonment, fines, or denial of insurance benefits.
Notice to Maryland Applicants: Any person who knowingly or willfully presents a false or fraudulent claim for payment of
a loss or benefit or who knowingly or willfully presents false information in an application for insurance is guilty of a crime
and may be subject to fines and confinement in prison.
Notice to New Jersey Applicants: Any person who includes any false or misleading information on an application for an
insurance policy is subject to criminal and civil penalties.
Notice to Ohio Applicants: Any person who, with intent to defraud or knowing that he is facilitating a fraud against an
insurer, submits an application or files a claim containing a false or deceptive statement is guilty of insurance fraud.
Notice to Oklahoma Applicants: WARNING: Any person who knowingly, and with intent to injure, defraud or deceive any
insurer, makes any claim for the proceeds of an insurance policy containing any false, incomplete or misleading information is
guilty of a felony.
Notice to Pennsylvania Applicants: Any person who knowingly and with intent to defraud any insurance company or other
person files an application for insurance or statement of claim containing any materially false information or conceals for the
purpose of misleading, information concerning any fact material thereto commits a fraudulent insurance act, which is a crime
and subjects such person to criminal and civil penalties.
Notice to Vermont Applicants: Any person who knowingly presents a false statement in an application for insurance may be
guilty of a criminal offense and subject to penalties under state law.
Notice to Applicants of all other states: Any person who knowingly and with intent to defraud any insurance company or
other person files an application for insurance or statement of claim containing any materially false information or conceals for
the purpose of misleading, information concerning any fact material thereto, commits a fraudulent insurance act, which is a
crime and subjects the person to criminal and civil penalties.
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Completed 23 November 2020

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