Global private equity and venture capital news and research

Posts Tagged ‘SEC’

24 August 2016

Apollo settles for $52m with SEC over charges of misleading LPs

hammer-802303_1280 Apollo Global Management will pay $52.7m to settle charges raised by the US Securities and Exchange Commission (SEC) against four of its funds.

22 August 2016

Silver Lake under SEC investigation over accelerated monitoring fees

money-1459232_640 The US Securities and Exchange Commission (SEC) has reportedly launched a probe into private equity firm Silver Lake regarding disclosure of fees.

11 May 2016

Former SEC enforcement lawyer to join Blackstone

old-brown-suitcase-2-1049630-m Former SEC senior executive Marshall Sprung is reportedly about to join US asset management group Blackstone.

26 April 2016

Patriarch Partners faced with new lawsuit by the Zohar funds

courtroom-898931_640 New York-based private equity firm Patriarch Partners, headed by investor Lynn Tilton, is facing a new lawsuit by the Zohar funds, formerly under Tilton’s management.  The new fund manager, Alvarez & Marsal, filed a suit with Delaware’s Court of Chancery last Friday, alleging they have been refused access to financial records. This latest filing adds to a[...]

1 April 2016

Ex-Burrill & Co head, execs agree to nearly $6m in SEC fines

Steve Burrill Steven Burrill, who was sacked as CEO of venture capital firm Burrill & Co in 2014, and two former executives of the firm will pay almost $6m to settle SEC fraud charges.

29 December 2015

Ex-TPG employee in China involved in $920,000 insider trading settlement with SEC

law-1063249_1920 Yannan Liu, the CEO of Chinese P2P lending platform and a former employee of global private equity firm TPG, is one of the two people to reach a settlement with the SEC.

22 July 2015

State treasurers to pressure SEC for more PE transparency

money-wallet-291317-m A coalition of state treasurers and elected officials are reportedly set to put pressure on the SEC to push for greater transparency and fee disclosures from private equity managers, AltAssets understands.

2 July 2015

KKR to keep status as an eligible securities issuer following SEC settlement

SEC Global buyout house KKR will not lose its status as an eligible securities issuer after reaching a settlement with the SEC.

29 May 2015

Goldman’s Andrew Donohue returns to SEC as Mary Jo White chief of staff

red-tape_lrg Former US Securities and Exchange Commission director Andrew Donohue is set to return to the regulator as chief of staff for chair Mary Jo White after five years at Goldman Sachs.

15 May 2015

SEC files fraud charges against Venture Capital exec

gavel-2-1409592-m The US Securities and Exchange Commission has filed fraud charges and an asset freeze against a Connecticut-based venture capital executive, AltAssets understands.

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