Many private equity firms are at risk of SEC enforcement actions because they overlook-or misinterpret-rule changes that dramatically affect the ability to raise capital, interact with investors and meet all-new reporting and disclosure requirements. The Finance's Guide to Private Equity Regulatory Compliance, published in partnership with the Association for Corporate Growth, lays out the roadmap to help ensure your fund doesn’t run afoul of federal laws. Ultimately, fund managers and compliance officers are responsible for understanding and complying with these many rules, and the penalties for violations can be significant.
Table of Contents
- Commonly Used Acronyms and Abbreviations - Key
- Tab 100 - Regulatory Overview
- Tab 200 - Statutory Obligations and Fiduciary Responsibilities
- Tab 300 - Suggested Best Practices
- Tab 400 - Investment Advisers Act of 1940
- Tab 500 - Advisers Act Advertising Restrictions
- Tab 600 - Securities Act of 1933
- Tab 700 - Investment Company Act of 1940
- Tab 800 - Securities Exchange Act of 1934
- Tab 900 - Other Marketing and Sales Regulations
- Tab 1000 - Money Laundering, Privacy and Other Considerations
- Tab 1100 - ERISA
- Tab 1200 - The Foreign Corrupt Practices Act
- Tab 1300 - The Commodity Exchange Act
- Tab 1400 - SBIC Funds
