the us private equity fund compliance companion - PEI Media

Specialist Publications
THE US PRIVATE EQUITY
FUND COMPLIANCE
COMPANION
Operational guidance and regulatory advice
for chief compliance officers
• Prepare for SEC compliance with the latest regulatory
updates and requirements
• Strengthen your compliance program with practical
tips and useful checklists
• 200 pages of essential advice and
insight from over 30 leading
compliance and legal experts
Edited by
Charles Lerner,
Fiduciary Compliance
Associates
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www.peimedia.com/companion

Ensure your
compliance
program is
effective
Have you implemented the latest SEC requirements?
As the US Securities and Exchange Commission (SEC) registration deadline
approaches on March 30, 2012, it is imperative that you have access to intelligence
on the very latest regulatory developments. In recent months, the SEC has instituted a
number of reporting changes for registered investment advisers. You need to be
aware of these changes.
The US Private Equity Fund Compliance Companion provides compliance
professionals with a dedicated source of practical advice and useful insight on the
legal and operational issues with which registered investment advisers are required
to comply. This publication will help you understand the new laws and regulations
and ensure your firm is fully SEC-compliant.
Key benefits of this publication:
• Find out about amended disclosure requirements for Form ADV Parts 1A and 2
• Learn what qualifies investment advisers as being exempt from registration
• Understand the new whistleblower provision and what it means for firms and portfolio companies
• Inform yourself of changes to the pay-to-play rule and new state laws and regulations
• Detail on the roles and responsibilities of chief compliance officers
• Obtain practice tips for conducting annual reviews and preparing for SEC examinations
• Access an exclusive roundtable discussion on performance reporting, general solicitation,
fundraising in new markets, social media policy and much more
Essential reading for:
• Chief Compliance Officers
• General Counsels
• Chief Financial Officers
• Chief Administrative Officers
• Chief Operating Officers
• Fund Managers
• Compliance professionals
• Consultants
• Lawyers

These new regulatory requirements will present a landscape
which at first may seem complex and burdensome, but will become
routine as advisers establish their compliance programs and
become familiar with SEC requirements.
Charles Lerner, Fiduciary Compliance Associates
Expert
contributors:
Edited by Charles Lerner,
Fiduciary Compliance
Associates
• Beacon Capital Partners
• BuckleySandler LLP
• Commonfund
• Deloitte & Touche LLP
• EisnerAmper LLP
• Finn Dixon & Herling LLP
• Gibson, Dunn & Crutcher LLP
• Highfields Capital Management
• KPMG LLP
• Morgan, Lewis & Bockius LLP
• O’Melveny & Myers LLP
• Proskauer Rose LLP
• PwC
• Ropes & Gray LLP
Contents:
SECTION I: REGULATORY DEVELOPMENTS
New and updated regulations
• Part 1A and Part 2 update of Form ADV
• Form PF: Private equity impact assessment
• Investment adviser registration exemptions
• The new Dodd-Frank whistleblower provisions
• Political contributions and state lobbyist registration
• Corruption in emerging markets
• European Union Directive on Alternative Investment Fund
Managers: An update
SECTION II: CHIEF COMPLIANCE OFFICER FUNCTIONS
Operational guidance for CCOs
• Chief compliance officer hiring and outsourcing
• Chief compliance officer roles and responsibilities
• Risk management
• Compliance for multi-strategy firms
• Annual review
• Special SEC examination issues
• Auditing a private equity fund
• Compliance roundtable
For the full table of contents and an exclusive excerpt, visit
www.peimedia.com/companion

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New York: +1 212 645 1919
London: +44 (0) 20 7566 5445
www.peimedia.com/companion
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You may also be interested in:
The US Private Equity Fund Compliance Guide
This definitive guide provides fund managers, advisers, investors, consultants and
associated professionals with an essential source of intelligence on SEC compliance. Written
by over 30 legal and compliance experts, this publication covers in detail how to build your
compliance program and the policies and procedures that an effective compliance program
must consider. This title is essential for both private equity fund advisers that must register
with the SEC for the first time and registered investment advisers.
The US Private Equity Fund Compliance Package
Comprising both The US Private Equity Fund Compliance Guide and The US Private Equity
Fund Compliance Companion, this definitive private equity fund compliance package is
written for the private equity business leader. Written by leading legal and compliance
practitioners, this package will help you successfully navigate the complexities of the SEC
registration process and develop and maintain an effective compliance program – saving
you thousands in consultancy fees.
For more information on PEI’s range of Specialist Publications,
visit www.peimedia.com/books, email petros.k@peimedia.com
or call +44 (0)20 7566 5427.