Tag: Private Equity
LA PE Fund Adviser Pays $1 Million to Settle MNPI Charges
LA PE Fund Adviser Pays $1 Million to Settle MNPI Charges June 5, 2020 A Los Angeles-based private equity fund adviser has paid $1 million to settle charges that...
June 05, 2020
Tags: Compliance, MNPI, Private Equity, SEC Enforcement
Volcker Rule Covered Fund Amendments Welcomed by Bank-Affiliated Asset Managers
Volcker Rule Covered Fund Amendments Welcomed by Bank-Affiliated Asset Managers June 29, 2020 The five agencies charged with implementing the Volcker Rule have issued final amendments to the regulations...
June 29, 2020
Tags: Bank-Affiliated Asset Managers, CFTC, Hedge Funds, Private Equity, Volcker Rule
SEC Fines PE Fund Adviser $350,000 for Misallocating Expenses to Fund Clients
The SEC has settled charges with a Florida-based private equity fund adviser for misallocating costs and expenses to its real estate fund clients. The adviser marketed that it performed certain...
August 20, 2020
Tags: Compliance, Fees and Expenses, Private Equity, SEC Enforcement
Virginia Adviser Pays Over $1 Million for Failing to Reduce Fees as a Result of Write Downs
The SEC has fined a private equity fund adviser concerning management fees that it charged to a fund under its management. The Limited Partnership Agreement (LPA) for the fund allowed...
October 29, 2020
Tags: Fees and Expenses, Private Equity, Private Funds, SEC Enforcement
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
