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Private Equity Funds › Sanctions

Proskauer - The Capital Commitment

Private Equity Adviser Settles with SEC for Misallocation of Internal Expenses Relating to “Third-Party Tasks”

Proskauer - The Capital Commitment on

The SEC issued an order imposing sanctions against private equity adviser Rialto Capital Management, LLC (“Rialto”) for violations of the Advisors Act relating to expense allocation. The settlement addressed Rialto’s...more

Dechert LLP

SEC Charges Private Equity Adviser for Unregistered Brokerage Activity

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The U.S. Securities and Exchange Commission (SEC) on June 1, 2016 announced a settled enforcement action against a private equity fund manager (Adviser) for acting as a broker-dealer without registering. The case is...more

Dorsey & Whitney LLP

SEC Sanctions KKR Over Fee Allocations

Dorsey & Whitney LLP on

The SEC filed its first action involving a private equity fund and broken deal expenses. By the time the Commission discovered the question the firm realized it did not have a disclosure policy, retained a consultant to study...more

Dechert LLP

Doing Business with Russia Following Sanctions: What PE Firms Need to Know

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It has now been over a year since the United States and the European Union began imposing sanctions on Russian and Ukrainian individuals and entities in connection with the situation in Ukraine. The sanctions have major...more

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