If you are looking for something to read during the long Thanksgiving Weekend or a great holiday present, pick up a copy of the newly released The US Private Equity Fund Compliance Guide, Volume III. PEI Media just released this follow up that updates the original 2012 edition with the ongoing review and actions of the SEC.
Once you get your hands on the Guide, you should feel free to marvel at Chapter 8: SEC Examinations: How to Successfully Handle the Process. I’m sure the author of that chapter is brilliant. I’m also sure he is ruggedly handsome and kind to animals.
If you agree, I can offer you a 15% discount. Use the code AUT_COM3 when ordering.
TABLE OF CONTENTS:
Introduction
Section I: SEC focus areas
1. US regulatory developments and areas of increased SEC focus applicable to private equity fund advisers since 2012
Erik A. Bergman, Justin J. Shigemi and Reed W. Balmer, Finn, Dixon & Herling LLP
2. Must-know current SEC issues
Julia D. Corelli and Stephanie Pindyck-Costantino, Pepper Hamilton LLP
3. Valuation practices
James E. Anderson and Justin L. Browder, Willkie Farr & Gallagher LLP
4. Cybersecurity
Kari M. Rollins, Winston & Strawn LLP
5. Marketing in the US and EEA
Laura S. Friedrich and John Adams, Shearman & Sterling LLP
6. Due diligence and fundraising
David A. Smolen and Caroline Schimmelbusch, GI Partners
7. Form PF and Annex IV regulatory reporting requirements
Jeanette Turner and Paul Yau, Advise Technologies, LLC
8. SEC examinations: How to successfully handle the process
Doug Cornelius, Beacon Capital Partners LLC
9. SEC enforcement actions against private equity firms
Richard D. Marshall, Katten Muchin Rosenman LLP
10. Compliance officer liability: How to protect the compliance officer
Richard D. Marshall, Katten Muchin Rosenman LLP
11. Compliance roundtable
James Gaven, Welsh, Carson, Anderson & Stowe, Christopher Anderson,
KPS Capital Partners, Joel Wattenbarger, Ropes & Gray LLP
Section II: Appendices
1. Spreading Sunshine in Private Equity
Andrew J. Bowden, director, Office of Compliance Inspections and Examinations
2. Private Equity: A Look Back and A Glimpse Ahead
Marc Wyatt, acting director, Office of Compliance Inspections and Examinations
3. Conflicts, Conflicts Everywhere – Remarks to the IA Watch 17th Annual IA Compliance Conference: The Full 360 View
Speech by Julie M. Riewe, co-chief, Asset Management Unit, Division of Enforcement
4. Cybersecurity Examination Sweep Summary
National Exam Program Risk Alert issued by the Office of Compliance
5. Cybersecurity Guidance
Issued by the Division of Investment Management
6. OCIE’s 2015 Cybersecurity Examination Initiative
National Program Risk Alert issued by the Office of Compliance Inspections and Examinations (OCIE)
7. Examination Priorities for 2015
Issued by the Office of Compliance Inspections and Examinations