Defendant Name:
Carlyle Investment Management L.L.C.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
The Carlyle Group Inc.
SIC Code:
9999
CUSIP:
14316J10
Document Reference:
IA-6816
Document Details
Legal Case Name
In the Matter of Carlyle Investment Management L.L.C., Carlyle Global Credit Investment Management L.L.C., and AlpInvest Partners B.V.
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
13-Jan-2025
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
On January 13, 2025, the SEC instituted settled administrative and cease-and-desist proceedings against Carlyle Investment Management L.L.C., Carlyle Global Credit Investment Management L.L.C., and AlpInvest Partners B.V., stating: "These proceedings arise out of the failure of Carlyle Advisers’ personnel, including at senior levels, to adhere to certain of these essential requirements and the firm’s own policies and procedures. Using their personal devices, these personnel communicated both internally and externally by text messages and/or other unapproved written communications platforms (“off-channel communications”)."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Other Compliance Related Undertaking
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$5,600,000.00
Shared:
Other Defendants in Action:
