SEC Fines Private Equity Adviser for Repeated Late Distribution of Audited Financials

SEC Fines Private Equity Adviser for Repeated Late Distribution of Audited Financials


By: Jessica Forbes, Stacey Song, Joanna D. Rosenberg

On July 17, 2018, the Securities and Exchange Commission announced a settlement with registered investment adviser New Silk Route Advisors, L.P. for failure to timely deliver audited financial statements to its fund investors as required by Rule 206(4)-2 under the Investment Advisers Act of 1940.

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