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Fund Managers › Breach of Duty › Enforcement Actions

Troutman Pepper Locke

SEC Charges TZP Management Associates With Breaching Fiduciary Duty by Overcharging Management Fees to Private Funds

Troutman Pepper Locke on

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

Proskauer - The Capital Commitment

A Commonsense Explanation of the SEC’s Regulation of Private Investment Funds

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The SEC’s regulation of the private investment funds industry has generated significant attention and commentary, as well as a fair amount of hand-wringing. From our perspective as lawyers, however, there is a relatively...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The SEC filed one new action this week – an administrative proceeding involving the principal of an investment adviser and undisclosed conflicts of interest. The Commission also amended a complaint in an insider trading...more

Jackson Walker

SEC Charges Private Equity Fund Manager with Misallocation of Portfolio Company Expenses

Jackson Walker on

On September 22, 2014, the Securities and Exchange Commission ("SEC") charged Lincolnshire Management, Inc. ("Lincolnshire"), a New York-based private equity fund adviser, with breaching its fiduciary duty to two investment...more

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