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Private Equity › Enforcement Actions › Sanctions

Husch Blackwell LLP

DOJ Declines to Prosecute Private Equity Firm After Self-Disclosure Related to Acquired Company

Husch Blackwell LLP on

Last year, the Department of Justice (DOJ) National Security Division (NSD) updated its Enforcement Policy for Business Organizations to include guidance related to voluntary self-disclosures in connection with acquisitions....more

A&O Shearman

What to Expect from the Biden Administration

A&O Shearman on

The inauguration of Joe Biden as President of the United States has set in motion a number of significant policy changes. In this panel discussion, our U.S. legal and policy specialists shared their insights on what our...more

Proskauer - The Capital Commitment

Private Equity Adviser Settles with SEC for Misallocation of Internal Expenses Relating to “Third-Party Tasks”

Proskauer - The Capital Commitment on

The SEC issued an order imposing sanctions against private equity adviser Rialto Capital Management, LLC (“Rialto”) for violations of the Advisors Act relating to expense allocation. The settlement addressed Rialto’s...more

Proskauer - The Capital Commitment

Fund Sponsor’s Fee Calculation Mistake Leads to SEC Enforcement

Proskauer - The Capital Commitment on

A settlement last week involving a private equity fund sponsor is a reminder that compliance with fee calculation provisions and valuation policies and procedures are crucially important for fund managers. Even when an error...more

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