Guide to Private Equity Regulatory Compliance
When the SEC examines your private equity firm, what will they find? Many private equity firms are at risk of SEC enforcement actions because they overlook—or misinterpret—recent rule changes that dramatically affect the ability to raise capital, interact with investors and meet all-new reporting and disclosure requirements.
Thompson'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.
The Guide covers a broad range of regulatory issues private equity firms must now contend with, including:
- fees and expenses
- cybersecurity
- portfolio company valuations
- and much, much more.
The Guide is available for purchase at http://www.thompson.com/public/offerpage.jsp?prod=XFUND.
The material in this publication was created as of the date set forth above and is based on laws, court decisions, administrative rulings and congressional materials that existed at that time, and should not be construed as legal advice or legal opinions on specific facts. The information in this publication is not intended to create, and the transmission and receipt of it does not constitute, a lawyer-client relationship.
Content contributed by attorneys of Troutman Sanders LLP and Pepper Hamilton LLP prior to April 1, 2020, is included here, together with content contributed by attorneys of Troutman Pepper (the combined entity) after the merger date.