Private Equity, SEC | JD Supra Law News

SEC Charges Private Equity Firm, Former Executive, and Consultant for Improperly Soliciting Investments

by Orrick - Structured Finance Group on 3/28/2013

On March 11, the SEC announced charges against a private equity firm, a former senior executive of the firm and an individual based solely on the allegation that the individual acted as an unregistered broker-dealer in...more

SEC Ramps Up Its Private Equity Parade

by David Smyth | Brooks Pierce on 3/21/2013

Bruce Karpati, chief of the SEC’s Asset Management Unit, promised us several weeks ago that enforcement actions against private equity firms were about to heat up. He wasn’t kidding. Last Monday, the SEC filed two sets of...more

SEC Settles Cases Alleging Compliance Failures at Private Equity Firms

by Ropes & Gray LLP on 3/14/2013

On March 11, the SEC announced two matters of significant importance to the private equity industry and to private fund sponsors generally. Together, these cases demonstrate the SEC’s continued focus on the private equity...more

SEC Enforcement Coming to a Private Equity Firm Near You

by David Smyth | Brooks Pierce on 3/5/2013

Bruce Karpati, chief of the SEC’s Asset Management Unit (“AMU” or the “Unit”), recently spoke at the Private Equity International Conference in New York, and opened a window into the Unit’s views toward the industry. In...more

Private Equity: Blindsided by the FCPA — Hedging Against Anti-Corruption Deal Risk

by G. Derek Andreson, Marc Axelbaum, James Kelly, Ryan Sparacino, Christopher Zochowski | Pillsbury Winthrop Shaw Pittman LLP on 3/1/2013

Until a few years ago, private equity firms enjoyed relative insulation from regulatory scrutiny of overseas acquisitions and the operations of multi-national portfolio companies. No longer is that the case. Spurred by the...more

Hedge Funds And Private Equity Groups On SEC Examination Priority List

by Jill Radloff | Leonard, Street and Deinard - Dodd-Frank and... on 2/25/2013

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more

Market Trends & Legal Developments for Dealmakers - Quarter 4: 2012

by Sheppard Mullin Richter & Hampton LLP on 2/15/2013

In This Issue: -Market Trends -Venture Capital -Private Equity -Initial Public Offerings -Mergers & Acquisitions -Legal Updates -Jobs Act & Capital Markets -Mergers &...more

Fourth Quarter 2012

by Louis Lehot, Kevin Rooney | Sheppard Mullin Richter & Hampton LLP on 2/14/2013

We are pleased to make available to you our quarterly update on dealmaking market trends and legal developments for Fourth Quarter 2012....more

"The SEC’s Private Equity Enforcement Concerns"

by Lauren Heller, Anastasia T. Rockas | Skadden, Arps, Slate, Meagher & Flom LLP on 2/7/2013

On January 23, 2013, Bruce Karpati, Chief of the Asset Management Unit (the “AMU”) of the Enforcement Division of the Securities and Exchange Commission, addressed the Private Equity International Conference in New York. Mr....more

SEC Enforcement Actions Against Private Equity: Get Ready for More

by Nanette Heide, Richard Jaffe, George Nemphos | Duane Morris LLP on 2/6/2013

In a speech delivered at the Private Equity International Conference on January 23, 2013, in New York, Bruce Karpati, Chief of the U.S. Securities and Exchange Commission (SEC) Enforcement Division's Assets Management Unit,...more

SEC Warns: “the number of cases involving private equity will increase.”

by Ropes & Gray LLP on 1/31/2013

On January 23, the Chief of the Securities Exchange Commission’s Asset Management Unit (“AMU”), Bruce Karpati, participated in a question and answer session at the Private Equity International Conference. He discussed the...more

SEC Enforcement Official Hints At Increased Actions Against Private Equity

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 1/24/2013

Bruce Karpati, Chief, of the SEC Enforcement Division’s Asset Management Unit, recently gave his views on certain matters related to private equity....more

Skadden's 2013 Insights: Capital Markets

by Skadden, Arps, Slate, Meagher & Flom LLP on 1/21/2013

2012 was a robust year for both the U.S. leveraged loan and high-yield markets, including record-breaking deal volume for the latter. These conditions provided fertile ground for borrowers and issuers in U.S. markets to fund...more

Considerations for Placing Private Equity Sponsor Representatives on Public Portfolio Company Board Committees

by Ropes & Gray LLP on 1/21/2013

Many private equity sponsors have been or are considering undertaking an initial public offering of a portfolio company. In negotiating stockholder arrangements and committee assignments for their director representatives...more

Private Equity Valuations: Standards and Recent Developments

by Brett D Jaffe, Oliver Haker | Cohen & Gresser LLP on 8/16/2012

Originally published in the American Bar Association's Commercial & Business Litigation: Summer 2012, Vol. 13 No. 4 – Delaware Corporations & Private Equity - August 16, 2012. It has been widely reported that in late...more

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Private Equity › Securities & Exchange Commission