Languages

IronCove_ADivisionOfEPICedited.png
IronCove-IND-Financial-Institutions-Banner.jpg

Iron Cove Blog

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

2016 SEC Enforcement Results

Oct 31, 2016 2:29:11 PM

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 their executives and misconduct by registrants and gatekeepers, as the agency continued to enhance its use of data to detect illegal conduct and expedite investigations.

Read More

Tags: Iron Cove Posts, Directors & Officers Liability, D&O, dodd-frank, hedge fund, Hedge Fund Regulation, Insurance, insurance, 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

Oct 28, 2016 12:40:10 PM

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

Read More

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

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.

Read More

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

Subscribe to Email Updates

Recent Posts

Recent Tweets