Last week, TZP Management Associates, LLC (TZP), a New York-based private equity investment adviser, agreed to pay more than $680,000 in monetary relief to settle charges brought by the Securities and Exchange Commission...more
8/22/2025
/ Breach of Duty ,
Civil Monetary Penalty ,
Conflicts of Interest ,
Disclosure Requirements ,
Enforcement Actions ,
Fiduciary Duty ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Management Fees ,
Partnership Agreements ,
Private Equity ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions
On May 20, the Commodity Futures Trading Commission’s (CFTC’s) Division of Enforcement issued new public guidance on civil monetary penalties that is designed to increase transparency in penalty determinations. ...more
Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Private Fund Services Practice Group, hosts a series of candid, interactive webinar discussions for West LegalEdcenter on what is going on...more
1/10/2020
/ Civil Monetary Penalty ,
Department of Justice (DOJ) ,
Disgorgement ,
Enforcement Actions ,
Equitable Relief ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Managers ,
Injunctions ,
Investment Firms ,
Investment Funds ,
Investment Management ,
Remediation ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Violations ,
Self-Reporting