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The Us Private Equity Fund Compliance Companion Operational Guidance And Regulatory Advice For Chief Compliance Officers Charles Lerner

  • SKU: BELL-5031966
The Us Private Equity Fund Compliance Companion Operational Guidance And Regulatory Advice For Chief Compliance Officers Charles Lerner
$ 31.00 $ 45.00 (-31%)

4.3

88 reviews

The Us Private Equity Fund Compliance Companion Operational Guidance And Regulatory Advice For Chief Compliance Officers Charles Lerner instant download after payment.

Publisher: PEI Media Ltd
File Extension: PDF
File size: 1.8 MB
Pages: 383
Author: Charles Lerner
ISBN: 9781908783615, 1908783613
Language: English
Year: 2013

Product desciption

The Us Private Equity Fund Compliance Companion Operational Guidance And Regulatory Advice For Chief Compliance Officers Charles Lerner by Charles Lerner 9781908783615, 1908783613 instant download after payment.

""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. 
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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