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" The US Private Equity Fund Compliance Companion : "
Charles Lerner
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BL
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| Record Number
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768550
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b588537
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| Main Entry
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Charles Lerner
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The US Private Equity Fund Compliance Companion : : Operational guidance and regulatory advice for chief compliance officers.\ Charles Lerner
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| Publication Statement
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London : PEI Media Ltd, 2013
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| Series Statement
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1
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| Page. NO
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(383 pages).
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| ISBN
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1908783613
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: 9781908783615
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| Notes
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Chief compliance officer checklist.
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| Contents
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Cover; Title; Copyright; Contents; About the editor; Introduction; Section I: Regulatory Developments; 1 Part 1A of Form ADV; By Erik A: Bergman and Justin J. Shigemi, Finn Dixon & Herling LLP; Introduction; New registration thresholds; Exempt reporting advisers; New questions for all investment advisers; Calculating assets under management; Private fund reporting; Practice tips; 2 Form ADV Part 2 Update; By Timothy M. Clark, O'Melveny & Myers LLP; Overview; Brochure delivery requirements; Overview of the form; Firm brochure disclosure items; Brochure supplements. Books and records requirement3 Form PF: Private equity impact assessment; By Karl Ehrsam, Jay Regan and Craig Friedman, Deloitte & Touche LLP; Background; Overview of Form PF; Impact of Form PF for advisers to private equity funds; Conclusion; Appendix: Summary of Form PF requirements; 4 Investment adviser registration exemptions; By Edward D. Nelson and Ebonie D. Hazle, Gibson, Dunn & Crutcher LLP; Introduction; Venture capital fund exemption; Private fund adviser exemption; Filing and reporting requirements for exempt reporting advisers; Foreign private adviser exemption. Subadvisory relationships and advisory affiliatesConclusion; 5 The new Dodd-Frank whistleblower provisions: A primer for private equity firms; By Winston Y. Chan and Kareem Ghanem, Gibson, Dunn & Crutcher LLP; Introduction; New whistleblower rules; Risks that private equity firms face; Suggested practices for private equity firms; Conclusion; 6 Political contributions and state lobbyist registration; By Thomas S. Harman and John J. O'Brien, Morgan Lewis & Bockius LLP; Introduction; The SEC's pay-to-play rule; State laws and regulations; Practice tips; 7 Corruption in emerging markets. By James T. Parkinson and Leslie Meredith, BuckleySandler LLPIntroduction; The Foreign Corrupt Practices Act: starting the transnational anti-bribery movement; The OECD and UN get involved: international anti-corruption conventions UK Bribery Act: new law; Local anti-bribery law: similar idea, different processes; Develop suitable compliance controls; Structuring the corruption risk assessment; 8 European Union Directive on Alternative Investment Fund Managers: An update; By Kate Simpson and Kimberly Everitt, Proskauer Rose LLP; Introduction; Scope of the Directive. Regulatory and operational changes from mid-2013Section II: Chief Compliance Officer Functions; 9 Chief compliance officer hiring and outsourcing; By Doug Cornelius, Beacon Capital Partners, LLC; Introduction; Legal and regulatory requirements; Who should the CCO be?; Functions of a chief compliance officer; Other chief compliance officer functions; Compliance committee; Chief compliance officer liability; Conclusion; 10 Chief compliance officer roles and responsibilities; By David Harpest and Daniel Faigus, PwC; Introduction; Chief compliance officer role and responsibilities.
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| Abstract
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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.
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Charles Lerner
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