A summary of a private equity firm’s compliance obligations, a discussion of notable developments in 2014 and highlights of the SEC’s examination priorities for 2015.
US federal laws and regulations, as well as the rules of self-regulatory organizations, impose numerous yearly reporting and compliance obligations on private equity firms. While these obligations include many routine and ongoing obligations, new and emerging regulatory developments also impact private equity firms’ compliance operations. This Client Alert provides a round-up of certain annual or periodic investment advisory compliance-related requirements that apply to many private equity firms. In addition, this Client Alert highlights material regulatory developments in 2014 as well as a number of expectations regarding areas of regulatory focus for 2015.
A complete review of a private equity firm’s compliance obligations is beyond the scope of this Client Alert, as operational aspects unique to a particular private equity firm may imply additional regulatory obligations, or different timelines for compliance.
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