"Strengthen your compliance program with the most up-to-date regulatory requirements"
Read alsoIT Regulatory Compliance in the UK
This pocket guide provides you with a concise and accessible guide to UK legislation including the Data Protection Act 1998, the Freedom of Information Act 2000 and the Regulation of Investigatory Powers Act 2000. It explains the importance of keeping and preserving records, and outlines the type of records your organisation is obliged to…
Since the publication of The US Private Equity Fund Compliance Guide in 2010, the United States Securities and Exchange Commission (SEC), has instituted a number of reporting changes for private equity fund managers.
The US Private Equity Fund Compliance Companion provides a timely update on these new and amended regulations. Featuring expert advice from over 30 compliance and legal professionals, this guide for chief compliance officers (CCOs) provides practical guidance on the legal and operational issues that registered investment advisers must comply with, and what the CCO role entails complete with practical tips and checklists.
The companion also features a roundtable discussion among a chief compliance officer, a head of investor relations and three attorneys.
In this exclusive session, these compliance experts discuss reporting net as well as gross performance results, limitation on general or public solicitations of investors, fundraising in new markets, limited partner due diligence and social media policy.
Save thousands with this handy reference with unrivalled insight from experts at the forefront of regulatory compliance. Stay up-to-date with the latest information and ensure your compliance program is fully SEC-compliant.
Inform yourself with this dedicated companion:
•Find out about amended disclosure requirements for Form ADV Parts 1A
•Learn what qualifies investment advisers from registration exemption
•Understand the new whistleblower provision and what it means for firms and portfolio companies
•Keep abreast of the changes to the pay-to-play rule and new state laws and regulations
•Analysis of current and pending regulations stemming from the AIFM Directive in Europe
•Detail on the roles and responsibilities of chief compliance officers
•Access practice tips for conducting annual reviews and preparing for SEC examinations
•Insight into top concerns and issues of legal and fundraising experts
Edited by Charles Lerner of Fiduciary Compliance Associates, with chapters written by:
- Beacon Capital Partners - Gibson, Dunn & Crutcher LLP
- BuckleySandler LLP - Highfields Capital Management
- Deloitte & Touche LLP - KPMG LLP
- EisnerAmper LLP - Morgan Lewis & Bockius LLP
- Finn Dixon & Herling LLP - O'Melveny & Myers LLP.
This highly practical guide is ideal for:
- Chief Compliance Officers - Fund Managers
- General Counsels - US Advisers to investment funds
- Chief Financial Officers - Compliance professionals
- Chief Administrative Officers - Consultants
- Chief Operating Officers - Lawyers.