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Compliance
PE fund adviser pays $1.5m to settle SEC fee violation charges
New York-based investment adviser Insight Venture Management LLC has agreed to pay a $1.5 million penalty and and $864,958 in disgorgement and prejudgment interest, to settle Securities and Exchange Commission charges that it charged excess management fees and failed to disclose a conflict of interest to investors relating to its fee calculations.Â
21/06/2023
PE fund adviser pays $1.5m to settle SEC fee violation charges
21/06/2023
FTX law-suit targets VC and PE firms
A class-action law-suit filed on behalf of investors in Sam Bankman-Fried’s failed cryptocurrency exchange FTX, has accused a number of venture capital and private equity firms, including Sequoia Capital, Thoma Bravo and Paradigm, of hyping the “legitimacy” of the business, according to a report by Bloomberg.
17/02/2023
FTX law-suit targets VC and PE firms
17/02/2023
US DoJ probes Blackstone, Apollo and KKR & Co on overlapping board seats
The US Department of Justice (DoJ) has launched an investigation into whether the way a group of private equity majors, including Blackstone Inc, Apollo Global Management Inc and KKR & Co, influence the boards of US corporates violates antitrust laws, according to a report by Bloomberg.
31/10/2022
US DoJ probes Blackstone, Apollo and KKR & Co on overlapping board seats
31/10/2022
AIMA and the ACC welcome positive progress on ELTIF regulation reforms
The Alternative Investment Management Association (AIMA), a global representative for the alternative investment industry, and its private credit affiliate, the Alternative Credit Council (ACC), has welcomed the political agreement on the European Long-Term Investment Funds (ELTIF) Regulation confirmed earlier this week.
21/10/2022
AIMA and the ACC welcome positive progress on ELTIF regulation reforms
21/10/2022
SEC charges Hudson Advisors and Lone Star Global for failing to disclose fund fees included $50m tax liability
The Securities and Exchange Commission (SEC) has charged registered investment advisers Hudson Advisors and Lone Star Global Acquisitions for including Hudson’s owner’s anticipated income tax liability as a component of certain fees charged to 14 funds they managed.
14/09/2022
SEC charges Hudson Advisors and Lone Star Global for failing to disclose fund fees included $50m tax liability
14/09/2022
CMA blocked record three M&A deals in past year
The Competition and Markets Authority (CMA) prohibited three merger & acquisition deals in 2021/22, the highest on record in a single year. The number of blocked deals in 2021/22 equates to 5.5% of all deals reviewed by the CMA that year, says Thomson Reuters. In the previous decade, the CMA only prohibited an average of one transaction a year, around 1.5% of M&A deals reviewed.
05/09/2022
CMA blocked record three M&A deals in past year
05/09/2022
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