Home › 2015 › June
Month: June 2015

Posted on by T. Gorman Posted in SECActions

The SEC filed another action based on its market access rule. This time the Respondent is Goldman, Sachs & Co., a wholly owned subsidiary of The Goldman Sachs Group, Inc. In the Matter of Goldman, Sachs & Co., Adm. Proc. …

SEC Sanctions Goldman Based on Market Access Rule Read More »

Tagged with: , ,

Posted on by T. Gorman Posted in SECActions

The SEC filed its first action involving a private equity fund and broken deal expenses. By the time the Commission discovered the question the firm realized it did not have a disclosure policy, retained a consultant to study the issue …

SEC Sanctions KKR Over Fee Allocations Read More »

Tagged with: , , , ,