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hedge fund insurance

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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