Jun 2 2011 | 3:22pm ET
According to insurance expert Scott Davidoff, a directors and officer policy will not provide coverage for general SEC sweeps at a hedge fund, but a well-worded policy can provide formal and informal investigation coverage. It is anticipated that once Dodd-Frank takes effect on July 21, the sub-billion dollar SEC registered hedge funds will be targeted initially for surprise examinations by auditors.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…