投资者律师博客宾夕法尼亚州私募股权公司解决与政治竞选捐款有关的“付费”违规行为的指控
TL Ventures Inc.已同意支付近300,000美元以解决证券和交换委员会的费用。bob200体育The regulator contends that the Pennsylvania-based private equity firm violated “pay-to-play” rules for advisory fees it continued to get from state pension funds and the city of Philadelphia even after an associate made campaign contributions to the mayoral candidate and the state’s governor.
This is the SEC’s first case under the investment advisers’ pay-to-play rules, which went into effect in 2010. Under the rules, investment adviser are not allowed to provide compensatory services via pooled investment vehicles or to a government client for two years after a firm or one of its associates makes campaign contributions to political candidates or anyone able to impact the retention of advisers to oversee government client assets.
费城市长可以任命费城养老金和退休委员会的三名成员。宾夕法尼亚州的州长可以选择该州六名退休系统董事会成员。
SEC还指控TL Ventures和附属顾问Penn Mezzanine Partners Management L.P.担任未注册的投资顾问。两人在2012年分别声称他们不得不向SEC注册。但是，监管机构说，为了确定它们是否豁免这些要求，这两个实体应已整合为单个投资顾问
TL冒险在不否认或接受调查结果的情况下定居。该公司将支付256,697美元的垃圾货币，预判判约3,197美元，罚款35,000美元。
如果您怀疑自己是机构投资者欺诈，请立即联系SSEK Partners Group。