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SEC fines advisers for allocating compliance expenses to funds
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • November 19 2015

On November 5, 2015, the SEC settled its action against two affiliated investment advisers to private equity funds concerning allegations that the

SEC Enforcement Director tells CCOs not to worry as another CCO named in an SEC enforcement action
  • Katten Muchin Rosenman LLP
  • USA
  • November 8 2015

Andrew Ceresney, Director of the Division of Enforcement of the Securities and Exchange Commission, said in a speech last week before a group of

SEC continues to scrutinize the adequacy and transparency of private equity fees and conflicts of interest
  • Kelley Drye & Warren LLP
  • USA
  • October 21 2015

The Securities and Exchange Commission ("SEC") has continued to scrutinize the fees and expenses charged by private equity funds to investors, as

Portfolio monitoring and legal fees subject to SEC enforcement action against private equity group
  • Stinson Leonard Street LLP
  • USA
  • October 10 2015

The SEC announced that three private equity fund advisers within The Blackstone Group have agreed to pay nearly $39 million to settle charges that

FinCEN issues new Proposed Rule for registered investment advisers to implement AML program and report suspicious activities
  • Clifford Chance LLP
  • USA
  • August 26 2015

Today, the Financial Crimes Enforcement Network ("FinCEN") issued a notice of proposed rulemaking (the "Proposed Rule"). The Proposed Rule (available

KKR the first private equity adviser to be charged by the SEC with misallocation of broken deal expenses in breach of its fiduciary duty
  • Manatt Phelps & Phillips LLP
  • USA
  • August 5 2015

In the first SEC Enforcement action of its kind brought against a private equity adviser, on June 29, 2015, the SEC announced that KKR had agreed to

SEC enforcement action developments
  • Ropes & Gray LLP
  • USA
  • August 4 2015

Compliance Officer Awarded Over $1 Million as Whistleblower The SEC recently announced that it granted a whistleblowing award that will range from $1

Examination and other regulatory developments
  • Ropes & Gray LLP
  • USA
  • August 4 2015

In recent remarks, Igor Rozenblit, the head of the Private Funds Unit at the U.S. Securities and Exchange Commission (the “SEC”) urged advisers

The Financial Report June 25, 2015 - US Securities and Exchange Commission developments
  • DLA Piper LLP
  • USA
  • June 25 2015

The SEC issued an Order denying a motion for a stay of the Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation

Online health care, consumer data, cybersecurity risks, accounting fraud, patents Expect Focus Vol. II, Spring 2015
  • Carlton Fields Jorden Burt
  • Global, USA
  • June 17 2015

Large-scale data breaches have become increasingly common, bringing with them not only bad press and loss of customer goodwill