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Author : Charles Lerner
Release : 2010
Genre : Hedge funds
Kind : eBook
Book Rating : 834/5 ( reviews)
Book Synopsis The US Private Equity Fund Compliance Guide by : Charles Lerner
Download or read book The US Private Equity Fund Compliance Guide written by Charles Lerner. This book was released on 2010. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Charles Lerner
Release : 2010
Genre :
Kind : eBook
Book Rating : 639/5 ( reviews)
Book Synopsis The US Private Equity Fund Compliance Guide by : Charles Lerner
Download or read book The US Private Equity Fund Compliance Guide written by Charles Lerner. This book was released on 2010. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Author : Jason A. Scharfman
Release : 2018-09-12
Genre : Business & Economics
Kind : eBook
Book Rating : 622/5 ( reviews)
Book Synopsis Private Equity Compliance by : Jason A. Scharfman
Download or read book Private Equity Compliance written by Jason A. Scharfman. This book was released on 2018-09-12. Available in PDF, EPUB and Kindle. Book excerpt: Develop and manage a private equity compliance program Compliance has become one of the fastest-growing areas in the private equity (PE) space. Mirroring trends from the hedge fund industry, recent surveys indicate that PE managers rank compliance as the single most challenging aspect of their business. Reports also indicate that PE compliance spending has rapidly outpaced other PE operating costs with recent estimates indicating that individual PE funds on average spend at least 15 - 20% of their operating budgets on this area. General Partners (GPs) have also significantly ramped up the hiring of private equity compliance related roles. Private Equity Compliance provides current and practical guidance on key private equity (PE) compliance challenges and trends. Packed with detailed, practical guidance on developing and managing a private equity compliance program, it offers up-to-date case studies and an analysis of critical regulatory enforcement actions on private equity funds in areas including conflict of interest, fees, expenses, LP fun raising disclosures, and valuations. • Provides real-world compliance guidance • Offers information that is tailored to the current compliance practices employed by GPs in the private equity industry. • Provides guidance on managing the compliance risks associated with cybersecurity and information technology risk • Serves as a PE-focused complement to the author's previous book, Hedge Fund Compliance If you’re a private equity investor or compliance officer looking for trusted guidance on analyzing conflicts, fees, and risks, this is one reference you can’t be without.
Author : Charles Lerner
Release : 2013
Genre :
Kind : eBook
Book Rating : 615/5 ( reviews)
Book Synopsis The US Private Equity Fund Compliance Companion by : Charles Lerner
Download or read book The US Private Equity Fund Compliance Companion written by Charles Lerner. This book was released on 2013. Available in PDF, EPUB and Kindle. Book excerpt: ""Strengthen your compliance program with the most up-to-date regulatory requirements"" 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.
Author : Terrance J. O'Malley
Release : 2013-01-01
Genre : Law
Kind : eBook
Book Rating : 493/5 ( reviews)
Book Synopsis Investment Adviser's Legal and Compliance Guide by : Terrance J. O'Malley
Download or read book Investment Adviser's Legal and Compliance Guide written by Terrance J. O'Malley. This book was released on 2013-01-01. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
