Major FCPA Enforcement Action -
Including charges against the CEO and CFO for failing to prevent misconduct -
In one of the largest FCPA settlements in history, hedge fund Och-Ziff Capital Management Group LLC...more
12/23/2016
/ CEOs ,
Democratic Republic of Congo ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Hedge Funds ,
Japan ,
Libya ,
Och-Ziff ,
Penalties ,
Securities and Exchange Commission (SEC) ,
Settlement
The Securities and Exchange Commission announced two settled enforcement actions against private equity fund advisers last week involving certain fee practices and potential conflicts of interest. Consistent with its...more
9/1/2016
/ Administrative Proceedings ,
Conflicts of Interest ,
Disclosure Requirements ,
Enforcement Actions ,
Excessive Fees ,
Investment Advisers Act of 1940 ,
Private Equity Funds ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Transparency