Ensure your firm is fully SEC compliant
with these definitive guides
Now that the official deadline for registrations with the US Securities and Exchange Commission (SEC) has come and gone, it is essential your firm remains fully compliance in order for you to continue doing business.
To help prepare you for regulatory compliance, PEI is pleased to announce
The US Private Equity Fund Compliance Package – a comprehensive source of expert legal and compliance guidance for fund managers, advisers, investors, consultants and associated professionals who need to register with the SEC and to create and further develop an active compliance program post-registration. This all-inclusive package includes:
1. The US Private Equity Fund Compliance Guide (ISBN: 978-1-904-696-83-4)
This guide covers in detail how to build your compliance program and the policies and procedures that an effective compliance program must consider. Each of the following major policies is addressed in individual chapters of this guide: books and records retention, custody, insider trading, marketing and advertising, political contributions, side letter agreements and much more. This title also provides valuable advice on how to file a Form ADV, how to write a compliance manual and managing conflicts of interest.
2. The US Private Equity Fund Compliance Companion (ISBN: 978-1-908-783-4)
This complementary companion provides expert guidance on the legal and operational issues that registered investment advisers must comply with, such as annual compliance reviews, special examination issues, risk management and audits of private funds. Covering new and updated laws and regulations including the amended Form ADV Parts 1A and 2, Form PF and whistleblower policy, this guide will help you further develop your compliance program to ensure it is fully SEC-compliant. As a bonus, the companion also features candid insight in a roundtable discussion into top concerns and issues of legal and fundraising experts.
This definitive package is written for the private equity business leader by industry-leading legal and compliance practitioners to help you successfully navigate the complexities of the pre- and post-registration process and develop and maintain an effective compliance program – saving you thousands in consultancy fees.
Order this package today and:
- Successfully navigate the pre- and post- registration process
- Inform yourself of the latest legal and regulatory updates
- Develop compliance policies and procedures tailored for your firm with guidance from leading lawyers
- Access details on the roles and responsibilities of chief compliance officers, and attributes of an effective compliance program
- Prepare for the first year after SEC registration and find out how to successfully manage an SEC inspection
Lead edited by Charles Lerner of Fiduciary Compliance Associates, with chapters
|- Gibson, Dunn & Crutcher LLP
||- Deloitte & Touche LLP|
|- Ropes & Gray LLP
||- KPMG LLP|
|- O'Melveny & Myers LLP
|- Morgan Lewis & Bockius LLP
||- Baker & McKenzie LLP|
|- Proskauer Rose LLP
||- Sherman & Sterling LLP and many more|
This package is ideal for:
|- Chief Compliance Officers
||- Fund Managers|
|- General Counsels
||- US advisers to investment funds |
|- Chief Financial Officers
||- Compliance professionals|
|- Chief Administrative Officers
|- Chief Operations Officers
NOTE: This guide does not replace the need for services of an actual compliance professional or of an actual legal counsel.