Defendant Name: Carlyle Investment Management L.L.C.

Defendant Type: Subsidiary of Public Company

Document Reference: 2025-6_3-22403

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 Twelve Firms to Pay More Than $63 Million Combined to Settle SEC's Charges for Recordkeeping Failures
Document Date 13-Jan-2025
Document Format Administrative Proceeding
File Number 3-22403
Allegation Type Investment Advisers/Investment Companies
Document Summary On January 13, 2025, the SEC "announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain and preserve electronic communications, in violation of recordkeeping provisions of the federal securities laws."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Censured
Monetary Penalties:

Civil Penalty

(Penalty was noted in document, but no amount was listed)

Related Documents:

IA-6816 13-Jan-2025 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 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”)."