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

January 6, 2017
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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 needed more guidance and advice than they were getting […]

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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 their executives and misconduct by registrants and gatekeepers, as the agency continued to enhance its use of data […]

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

October 28, 2016
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Who: New York Based RIA & Private Fund with $400,000,000 in assets under management.
Initial Concerns: We were originally contacted by the firm when they were contemplating structuring and creating a new fund in partnership with a portfolio manager that had a […]

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

October 18, 2016
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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.

Section 206 of The Investment Advisers Act of […]

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

August 30, 2016
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Hedge Fund Insurance Case Study
Who: $10 Billion Outsourced Investment Firm and Alternative Asset Management Firm
The Risks: Asset Management firms face a number of complex liability exposures that require proactive risk management consulting. Advisers face risks stemming from the performance of […]

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