D&O Insurance Case Study: $10 Billion RIA & Hedge Fund Firm
Hedge Fund Insurance Case Study
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Hedge Fund Insurance Case Study
Tags: hedge fund insurance, Asset Management, Iron Cove Posts, Case Study, Coverage, D&O, financial institutions, hedge fund, Iron Cove, Iron Cove Partners, Lou D'Agostino, Risk Management, SEC
Countless numbers of our financial institution clients are asked to carry Fiduciary Liability protection by third-party investors. This request causes a lot of confusion for asset management firms due to the fact that they rarely ever purchase it (at least in the most literal sense).
Tags: hedge fund insurance, Hedge Funds, Insurance, agency, Asset Management, Iron Cove Posts, brokerage, Due Diligence Questionaire, ERISA, Errors and Omissions, Fiduciary, Fiduciary Liability, hedge fund, investment advisors, Liability, Lou D'Agostino, Pension Plans
Tags: insurance, 40 Under 40, agency, Asset Management, Iron Cove Posts, brokerage, Business, directors and officers, Examiner, financial services, hedge fund, Iron Cove Partners, Liability, long island, long island business news, louis d'agostino, Property & Casualty
The Whistleblower Provision (Section 922 of the Dodd Frank Act) specifies that a person who provides to the SEC, original information of securities fraud within the company that leads to an enforcement penalty of $1 million or more may be entitled to collect between 10 and 30 percent of the penalties of $1 million or more. The Act prohibits employer retaliation against whistleblowers by employers and would provide for the whistleblower’s immediate reinstatement, as well as double back pay, attorneys’ fees, and other reasonable costs.
Tags: hedge fund insurance, insurance, Asset Management, Iron Cove Posts, Directors & Officers Liability, Dodd Frank, hedge fund, Iron Cove Partners, regulation, SEC
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