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The US Private Equity Fund Compliance Guide, Volume III

US Compliance 3 - 170x200


Publication date:
12 November 2015
No. of pages:

This book is a must-have resource on the latest SEC compliance priorities and focus areas for US registered investment advisers.

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Keep abreast of regulatory and compliance changes

Since private equity fund managers were required to become registered investment advisers in 2012, the Securities and Exchange Commission (SEC) has increased its attention on the private equity industry with more examinations, enforcement actions and guidance on issues affecting private equity firms. 
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Some areas of heightened SEC concern include disclosure to limited partners, hidden fees and expenses, allocation of expenses, the use of operating partners and co-investments, and valuation practices.

Edited by Charles Lerner of Fiduciary Compliance Associates, The Private Equity Fund Compliance Guide, Volume III provides a vital source of intelligence and guidance from the industry’s top lawyers and compliance professionals on what advisers need to know to have a well-designed compliance program.

Topics covered in this dedicated publication:

  • Allocation of expenses and transaction fees
  • When should an adviser register as a broker-dealer
  • Disclosures and investor due diligence
  • Valuation
  • Marketing in the US and EU
  • Cybersecurity
  • SEC enforcement investigations and actions
  • Chief compliance officer liability

Plus much more...

This highly practical guide is ideal for:

  • Chief Compliance Officers
  • General Counsels
  • Chief Legal Officers
  • Chief Financial Officers
  • Chief Administrative Officers
  • Chief Operations Officers
  • Fund Managers
  • US advisers to investment funds
  • Compliance professionals
  • Consultants
  • Lawyers

Please note: This guide does not replace the need for services of an actual compliance professional or a legal counsel.

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