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Securities and Exchange Commission (SEC) › Management Fees › Investment Adviser

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

Lowenstein Sandler LLP

The SEC and Management Fee Offset and Step-down Enforcement Actions–Not Without Warning

Lowenstein Sandler LLP on

As we previously wrote, the Securities and Exchange Commission (the “SEC”) proposed several rules that would impose additional requirements on private fund managers (“Managers”), many of which relate to various types of...more

Dorsey & Whitney LLP

SEC Fines Adviser $20 Million Based on Conflicts

Dorsey & Whitney LLP on

Failure to disclose conflicts of interest and/or to comply with firm procedures are the predicates for a series of SEC enforcement actions involving regulated entities. The most recent example of these trends is an action...more

Stinson - Corporate & Securities Law Blog

A Developing Trend: Heightened Scrutiny of Private Equity Fund Advisers

Stinson - Corporate & Securities Law Blog on

The Securities and Exchange Commission has recently increased its efforts in examining private equity fund advisers and the fees and expenses such advisers charge to portfolio companies on top of customary management fees....more

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