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Posts Tagged ‘regulators’

25 June 2014

TL Ventures, Penn Mezz Dodd-Frank exemption claim rejected by SEC

gavel The US Securities and Exchange Commission said that Philadelphia-based venture capital firm TL Ventures and its affiliate improperly claims that they are exempt from the requirement to register with the authorities.

23 June 2014

TL Ventures pays $300,000 to settle pay to play charges

SEC Philadelphia-based venture capital firm TL Ventures has agreed to pay $300,000 to settle the US Securities and Exchange Commission’s charges of violating the pay-to-play rules.

19 June 2014

Regulators accuse CIC of poor management and due diligence

china Chinese regulators have accused the country’s $575bn sovereign wealth fund China Investment Corp of dereliction of duty and inadequate due diligence.

12 June 2014

GPs needs to do more work on disclosures to LPs, says SEC official

SEC The US Securities and Exchange Commission told private equity firms that they need more work to do on disclosures to investors.

7 April 2014

SEC appoints team to examine private equity funds

dc The US Securities and Exchange Commission has reportedly appointed a team to examine private equity and hedge funds following the 2010 Dodd-Frank law.


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