Global private equity and venture capital news and research

Posts Tagged ‘SEC’

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.

26 February 2014

Private equity CEO used $3m of fund capital to pay bonuses, SEC claims

law-court5_lrg A private equity manager fraudulently channeled $3m of fund capital into his firm’s expenses to pay bonuses, employee tuition fees and pensions according to charges brought by the US securities regulator.

24 February 2014

SEC could grant private equity special exemption over deal fees

The U.S. Securities and Exchange Commission could make private equity firms exempt from needing to register as broker-dealers and therefore allow it to continue charging transaction fees, in a previously disputed area of regulation.

31 January 2014

SEC charges New York fund manager over $9m private equity ‘slush fund’

The US Securities and Exchange Commission has charged a Manhattan-based private equity manager and his firm with stealing $9m from investors in their private equity fund.

5 December 2013

US House votes to exempt private equity firms from Dodd-Frank disclosure rules

dc The US House of Representatives has passed a bill to exempt private equity firms from the Dodd-Frank law's requirement to register with the US Securities and Exchange Commission.

13 November 2013

Alleged fraudster Mazzola files to raise $100m fundp

mazzola US-based investor Frank Mazzola, who has been accused of fraud by the US Securities and Exchange Commission, has filed to raise a $100m venture capital fund, AltAssets has learned.

24 September 2013

PEGCC calls for SEC to scrap amendments to new general solicitation rulesp

contract-5_sq US industry body the Private Equity Growth Capital Council has called for the country's Securities and Exchange Commission to scrap proposed amendments to new rules allowing buyouts firms to advertise their funds more widely.

13 September 2013

SEC examination of private equity funds burdensome, inefficient, say House Republicans

us flag6_sq Two House Republicans said the US Securities and Exchange Commission’s examination regulations are “too burdensome” for private equity fund managers.

11 July 2013

Landmark vote opens door to private equity, venture capital advertising fundsp

news_gavel_lrg The decades-long ban on private equity and venture capital firms advertising their offering could soon be dead following a landmark vote by the US securities regulator yesterday.

12 March 2013

Oppenheimer settles SEC charges for $2.8m

usflag2_170sq Oppenheimer has agreed to pay more than $2.8m to settle US securities watchdog's charges of overvaluing the performance of a fund's largest investment by more than 10 times.

Legals & Terms of UsePrivacy Policy

AltAssets is registered as a trademark of Investor Networks Limited (06695690).
Registered Office: Zetland House, 5-25 Scrutton St, London EC2A 4HJ
Content is © AltAssets 2000-2014