[PDF] Wl Ross & Co. LLC 24 août 2016 WLR





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UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

INVESTMENT ADVISERS ACT OF 1940

Release No. 4494 / August 24, 2016

ADMINISTRATIVE PROCEEDING

File No. 3-17491

In the Matter of

WL ROSS & CO. LLC

Respondent.

ORDER INSTITUTING CEASE-AND-

DESIST PROCEEDINGS PURSUANT TO

SECTION 203(k) OF THE INVESTMENT

ADVISERS ACT OF 1940, MAKING

FINDINGS, AND IMPOSING A CEASE-

AND-DESIST ORDER

I. The Securities and Exchange Commission (Commission) deems it appropriate that cease-and-desist proceedings be, and hereby are, instituted pursuant to Section 203(k) of the Investment Advisers Act of 1940 (Advisers Act) against WL Ross & Co. LLC (L R or

WL or Respondent.

II. In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement (the Offer) which the Commission has determined to accept. Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting or denying the findings herein, except as to the Commissions jurisdiction over it and the subject matter of these proceedings, which are admitted, Respondent consents to the entry of this Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of

1940, Making Findings, and Imposing a Cease-and-Desist Order (Order), as set forth below.

III. On the basis of this Order and Respondents Offer, the Commission finds1 that: 1 this or any other proceeding. 2

SUMMARY

1. These proceedings arise from the failure of private equity fund adviser WL Ross

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