The US Private Equity Fund Compliance Guide

The US Private Equity Fund Compliance Guide contains essential and practical information for all advisers to private equity funds that must register with the US Securities and Exchange Commission (SEC) for the first time, and registered investment advisers that need to maintain an active compliance program under new laws and regulations.

The Dodd-Frank Wall Street Reform and Consumer Protection Act can change the way you do business. US advisers to private equity, real estate and hedge funds with $150 million or more in assets under management in the US must register with the Securities and Exchange Commission.

Any global business that has operations, investments or provides services in the US may also be subject to registration. SEC registration entails, among other things, establishing a formal compliance program, appointing a chief compliance officer, revising fundraising and marketing documents, and facing SEC examinations.

The US Private Equity Fund Compliance Guide will help to inform and educate fund managers, advisers, investors, consultants and associated professionals as they prepare for registration under this new wave of regulatory compliance. Edited by Charles Lerner of Fiduciary Compliance Associates, this guide sheds light on all the policies and procedures that a compliance program must consider, as well as practical advice and insight from leading compliance experts on the pre- and post- registration process.

As the SEC increases its focus on the private equity industry more than ever, ensure that your firm stays abreast of compliance matters.

Inform yourself with this dedicated compliance guide

•Over 30 leading professionals guide you through the complexities of the pre- and post-registration process, from staffing for the compliance role to managing litigation risks

•Leading lawyers advise you on all the policies and procedures that a compliance program must consider, including custody, foreign investments, insider trading, marketing and advertising, political contributions and side letter agreements

•Learn how to develop your compliance program from an organizational and cost standpoint, and ensure compliance within your firm

•Understand what the first year after SEC registration entails for your firm and how to successfully manage an SEC inspection

•Save thousands: Understand which questions you need to ask and the nuances you need to know to save your compliance program valuable time and expense

Contributors include:

Lead edited by Charles Lerner of Fiduciary Compliance Associates, with chapters written by:

- Baker & McKenzie LLP – Navigant Consulting

- Cadwalader Wickersham & Taft LLP – Pepper Hamilton LLP

- Deloitte & Touche LLP – PricewaterhouseCoopers

- Finn Dixon & Herling LLP – Ropes & Gray LLP

- KPMG LLP – Seward & Kissel LLP

- McDermot Will & Emery LLP – Sherman & Sterling 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 Operations Officers – Lawyers