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Posts Tagged ‘SEC’

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.

12 May 2015

PE-backed fitness club-software maker Mindbody registers IPO intentions

The Gym Group Mindbody Inc, a PE- and venture capital-backed, California-based maker of software used by health clubs, on Monday took its first step in the direction of a public offering by filing the requisite Securities & Exchange Commission paperwork.

12 May 2015

Patriarch’s Tilton asks for judge to reject SEC fraud case

gavel-952313-m Lynn Tilton, the head of private equity firm Patriarch Partners, has reportedly pleaded with a US judge to block the SEC from trying her for defrauding investors.

1 May 2015

Rockford president pleads guilty to conspiracy to defraud investors

courthouse-1330873-m Genadi Yagodayev, the former head of the Rockford Group, reportedly pleaded guilty to conspiracy to commit mail and wire fraud via the so-called private equity firm, at Brooklyn federal court this week.

13 April 2015

SEC names private equity scrutiniser Watt as acting director for compliance office

magnifying-glass_lrg US regulator the Securities and Exchange Commission has named Marc Wyatt as acting director of the agency’s Office of Compliance Inspections and Examinations.

22 January 2015

KKR partially refunds fees following SEC scrutiny

money-in-hand-1037536-m Global private equity major KKR has reportedly returned some fees to its LPs after the US securities regulator found the firm had overcharged its investors.

29 October 2014

SEC set to examine PE performance figures

SEC The US Securities and Exchange Commission is set to step up its efforts to regulate private equity by examining the average net IRR disclosures, AltAssets understands.

24 October 2014

SEC private funds co-head praises Blackstone scrapping controversial fee practice

Igor Rozenblit The co-head of the SEC’s private funds unit has reportedly praised buyout giant Blackstone for scrapping a controversial fee practice in its portfolio companies.

30 July 2014

Sterling Organization’s real estate Fund II pulls in nearly $100m $

mall Real estate private equity firm Sterling Organization has registered at least $95m commitments for its Value Add Partners II fund.

4 July 2014

Spectrum Equity nearly at $1bn after soaring past target for seventh flagship fund

rainbow-cables-pattern-1262823-m Software and digital media-focused buyout house Spectrum Equity is fast approaching $1bn for Fund VII after flying past its initial target.

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