Private Equity Fund Managers: Annual Compliance Reminders and New Developments

Latham & Watkins LLP
Contact

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.

Please see full publication below for more information.

LOADING PDF: If there are any problems, click here to download the file.

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations. Attorney Advertising.

© Latham & Watkins LLP

Written by:

Latham & Watkins LLP
Contact
more
less

PUBLISH YOUR CONTENT ON JD SUPRA NOW

  • Increased visibility
  • Actionable analytics
  • Ongoing guidance

Latham & Watkins LLP on:

Reporters on Deadline

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
Custom Email Digest
- hide
- hide