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
Document Reference:
IA-4960
Document Details
Legal Case Name
In the Matter of Oaktree Capital Management, L.P.
Document Name
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
Document Date
10-Jul-2018
Document Format
Administrative Proceeding
Allegation Type
Municipal Securities & Public Pensions
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
