Private Equity Adviser Charged Archives

Private Equity Adviser Charged $4 Million for Compliance Failures

SEC Releases Introduction The SEC announced on December 26th that a New York Private Equity RIA was charged for Policies and Procedures failures, specifically related to failing to supervise. These failures […]

SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to Fund

Brief Introduction Today, June 14th, the SEC announced that they charged a Private Equity Adviser with allocating undisclosed, disproportionate expenses to a private equity fund it advises. […]