2016 | Thompson Information Services

Contributor, Guide to Private Equity Regulatory Compliance

1 min

Political Law partner Ron Jacobs, Regulatory Partner Ed Wilson, and Real Estate Counsel Daniel Danello contributed to Thompson Information Service's Guide to Private Equity Regulatory Compliance. Authored by their industry peers, the publication covers a broad range of critical issues for private equity firms including:

  • suggested best practices on topics such as compliance policies and procedures, AML/KYC, cybersecurity, valuations, state and local pay-to-pay regulations, and use of expert networks
  • recent SEC speeches on the private equity industry and enforcement actions involving private equity firms
  • current hot-button items, such as co-investments, fees and expenses, use of operating partners and SEC examinations
  • the investment adviser’s fiduciary duty to its private fund clients
  • chief compliance officer liability
  • the Small Business Administration’s popular Small Business Investment Company (SBIC) program
  • advertising restrictions under the Advisers Act
  • relevant federal statutes for private equity firms, including the Advisers Act, Investment Company Act, Securities Act, Securities Exchange Act, FCPA and ERISA

Visit Thompson Information Services website to order a copy.