Newspaper icon
The latest issue of Financial Standard now available as an e-newspaper
READ NOW

Regulatory

SEC fines private equity firms for recordkeeping failures

Blackstone, KKR, and Carlyle are among the private equity firms that will collectively pay the Securities and Exchange Commission (SEC) US$63.1 million for failing to keep appropriate communications records.

Upgrade your subscription to access this article

And gain access to:
  • All website content, including archived news
  • Home page news customisation
  • Tech Zone, your technical resource library
And more
Already A Subscriber?

Read more: SEC,  KKR,  Exchange Commission,  Apollo Capital Management,  Blackstone Alternative Credit Advisors,  Blackstone Management Partners,  Blackstone Real Estate Advisors,  BNP Paribas Securities,  BNY Mellon Securities Corporation,  Carlyle Investment Management,  Charles Schwab,  Kohlberg Kravis Roberts,  PJT Partners,  RBC Capital Markets,  Sanjay Wadhwa,  Santander US Capital Markets,  Signal,  Subsidiary Robinhood Securities,  TPG Capital Advisors,  Wells Fargo Securities,  WhatsApp