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How our Corporate Mission and Process Helped Us Win the Day!

We recently received a referral from a consultant who was asked to assist their client with the D&O insurance buying process. He reached out to us and asked if we can help as he felt his client[…]

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insurance, C-Suite, Case Study, CCO, CFO, client, COO, Coverage, hedge fund, Indemnity, new, protection, regulatory, regulatory claims, regulatory coverage, regulatory risk, Risk, SEC

2016 SEC Enforcement Results

On October 11th, 2016, the Securities and Exchange Commission announced that, in fiscal year 2016, it filed 868 enforcement actions exposing financial reporting-related misconduct by companies and[…]

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Insurance, insurance, Iron Cove Posts, Directors & Officers Liability, D&O, dodd-frank, hedge fund, Hedge Fund Regulation, Iron Cove Partners, Lou D'Agostino, Regulation, regulation, Risk, Risk Management, SEC, SEC Investigations

Prospect Case Study: D&O/E&O Insurance For Registered Investment Advisor and Private Fund Firm

Who: New York Based RIA & Private Fund with $400,000,000 in assets under management.

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hedge fund insurance, Analysis, Case Study, Coverage, Directors & Officers Liability, D&O, Errors and Omissions, hedge fund, Iron Cove, Lou D'Agostino, regulation, Risk, Risk Management, SEC

SEC Administrative Proceeding Cites Violation of Advisers Act Due to Insurance Premium Allocation Practices

The SEC has commenced enforcement proceedings against a large greenwich based Hedge Fund siting violations of section 206(2), 206(4) and 206(4)-8 of the Investment Advisers Act in part resulting from[…]

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hedge fund insurance, insurance, Iron Cove Posts, Claims, Coverage, Directors and Officers Insurance, directors and officers liability, D&O, financial institutions, hedge fund, Iron Cove, Lou D'Agostino, Premium Allocation, Professional Liability, protection, regulation, Risk, SEC