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Iron Cove Blog

Check here for the latest Iron Cove Case Studies & Financial Services Related Blog Posts

SEC OCIE Exam Priorities For 2018

Mar 14, 2018 3:39:32 PM

If you’re a fund manager, you’ll want to be in the know on 2018 SEC Priorities for the National Exam Program (“NEP”), which continues to advance in terms of data usage to analyze regulatory filings and trading activity. 

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Tags: insurance, directors and officers coverage, hedge funds, Iron Cove Partners, OCIE, Office of Compliance Inspections and Examinations, Private Equity, Professional Liability, regulations, regulatory risk, SEC, SEC Investigations, Examinations, Securities and Exchange Commission

Tillage Fund vs. SS&C Fund Admin | Phishing Cyber Exposure and Whether Hedge Funds Could Protect Themselves?

Jan 13, 2017 3:57:48 PM

As if counter-party risk weren't already one of the biggest concerns of HF Managers! SS&C, one of the largest and most trusted fund administrators serving the alternative asset management industry fell victim to a phishing cyberattack costing a fund client millions of dollars but far worse, their business. As a fund manager, how can you protect yourself?

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Tags: hedge fund insurance, Hedge Funds, Insurance, insurance, ACE, Chubb, Coverage, cyber, Cyber & Privacy Liability, cyber transfer fraud, Directors & Officers Liability, dodd-frank, Errors and Omissions, Fidelity Crime, financial institutions, Fund administrator, hedge fund, Hedge Fund Regulation, hedge funds, Lou D'Agostino, Professional Liability, property & casualty, Risk, social engineering, SS&C, Tillage

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

Oct 18, 2016 6:03:28 PM

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 inadequate insurance premium allocation methodology.

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Tags: 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

Tags: hedge fund insurance, insurance, Iron Cove Posts, brokerage, Consultants, directors and officers liability, Directors & Officers Liability, D&O, Form PF, Iron Cove Partners, Madison Avenue, New York City, Opens Office, Private Equity, Professional Liability, Property & Casualty, Risk Management

Dodd-Frank Requires the need to hire a Chief Compliance Officer: Is the CCO Adequately Protected??

Jun 25, 2011 11:30:01 AM

The Dodd–Frank Wall Street Reform and Consumer Protection Act, is a federal statute signed into law on July 21, 2010.  The Act offers many sweeping changes to the financial regulatory environment and affects almost every aspect of the nation’s financial services industry.  Under the Act, investment managers/advisers to private equity funds and all private investment funds will have to register as investment advisers with the SEC no later than July 21, 2011. There is a provision that exempts managers of private equity funds with less than $150 million in assets under management from registering.  If you do not fall within the exemption, then failing to register would constitute a willful violation of the act.

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Tags: accredited investor, Insurance, insurance, allocations, Iron Cove Posts, Chief Compliance Officer, Cyber & Privacy Liability, directors and officers, Directors & Officers Liability, Dodd-Frank, dodd-frank, Errors and Omissions, hedge fund, Management Liability, Professional Liability, Property & Casualty, Reform, Regulation, regulation, SEC, SEC Investigations

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