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'PE firms that place employees on the boards of public companies bear heightened risks that they will obtain nonpublic material information through their representative occupying dual roles,' warned an SEC official.
The Boston-based private funds advisor will pay to settle SEC claims that it deceptively marketed one of its oil-and-gas investments.
Monomy Capital Management will settle SEC claims it hid fees from investors, but the firm's cooperation spared it an even worse fate.
A private fund isn't a personal fund and the SEC has driven the point home by barring a Maryland man for phony travel reimbursements and taking a seven-figure loan to cover a personal investment.
OCIE exams are continuing amid covid-19 disruptions, but remote working conditions are slowing them down, say lawyers from Debevoise & Plimpton.
The Securities and Exchange Commission remains 'fully operational.'
Be aware that examiners may question your logic for placing clients in certain share classes
Laurence Allen of ACP Investment Group stands accused of defrauding investors and misappropriating more than $13m.
A pair of private investment advisors and a fund they controlled hid millions in side deals with private real estate funds even while urging their clients to invest in the funds, the SEC alleges.
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