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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.

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Tags: 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

Oct 28, 2016 12:40:10 PM

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

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Tags: 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

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

D&O Insurance Case Study: $10 Billion RIA & Hedge Fund Firm

Aug 30, 2016 10:10:30 AM

Hedge Fund Insurance Case Study

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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

D&O Insurance Case Study- $1.5 Billion RIA & Hedge Fund Firm

Aug 25, 2016 12:21:28 PM

Who: A 25 year old New York based asset management firm with assets of $1.5 billion.

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Tags: insurance, Analysis, Iron Cove Posts, Case Study, Cost, D&O Insurance, hedge funds, Investment Adviser, Iron Cove, Lou D'Agostino, RIA, Savings

NFL Legends Community

Jul 8, 2016 7:00:58 AM

Post from Lou D'Agostino, President and Financial Services Practice Leader

2017 will mark 20 years since I put on a NYJ uniform and 2001 was the last time I wore FB pads. Over 16 years have gone by with little to no engagement with any of my prior sports teams including the ‪#‎NYJ‬. While it didn't take much, my two older sons are mainly responsible for pulling me back to the game in a coaching capacity as well as revitalizing my passion for fitness and athletic training. But I must say, nothing has been more exciting than the outreach and engagement from the @nfllegendscommunity. A new NFL initiative designed to bring legends (former players) back to the game and provide a slew of resources and a platform to reconnect with other legends and players in the region. Today's luncheon at the NFL HQs was just another example of their outreach. Whether you played one year or 10, there was a camaraderie established and relationships built that can never be erased. I am so grateful that I am getting to know some of these guys on a personal level and to be part of this tremendous initiative. Keep up the great work @nfllegendscommunity.

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Tags: insurance, Iron Cove Posts, Company, Company News, Erik Coleman, Greg Buttle, Iron Cove Partners, Keith Elias, Legends Community, Lou D'Agostino, Mike Rucker, New York Jets, NFL Headquarters, NFL Legends, Panthers, Tony Richardson

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