Defendant Name: Oaktree Capital Management, L.P.

Defendant Type: Subsidiary of Public Company
Public Company Parent: Oaktree Capital Group, LLC
SIC Code: 6282
CUSIP: 67400120

Initial Case Details

Legal Case Name In the Matter of Oaktree Capital Management, L.P.
First Document Date 10-Jul-2018
Initial Filing Format Administrative Action
File Number 3-18585
Allegation Type Municipal Securities & Public Pensions

Violations Alleged

Other
• Section 206(4) Advisers Act; Rule 206(4)-5 Advisers Act

Resolutions

First Resolution Date 10-Jul-2018
Headline Total Penalty and Disgorgement $100,000

Related Documents:

IA-4960 10-Jul-2018 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On July 10, 2018, the SEC issued an order against Oaktree Capital Management, L.P., stating: "These proceedings involve violations of the Commission's 'pay-to-play' rule for investment advisers by Respondent Oaktree Capital, an investment adviser."