The SEC is examining registered private equity fund advisers that manage at least $150 million in assets. Few things can damage your firm like an SEC enforcement action and what may begin as a routine OCIE exam can all too swiftly turn into trouble.
You can learn from the mistakes of your peers to protect your firm. That’s why Private Fund Watch, a service of Regulatory Compliance Watch and IA Watch has published Private Equity Enforcement Lessons Learned: Compliance Guidance for the PE Business Model. It guides you through the most pressing aspects of the SEC’s compliance rules to help you stay out of trouble.
The book includes:
- 25 best practices and guidance to sharpen your firm’s compliance
- 3 key regulatory issues
- 2 articles on what to expect during an exam
- 8 compliance tips
- 6 rules and SEC enforcement advice
- And much more…
The handbook offers best practices, guidance, tips and alerts to key SEC no-action letters, and more.
Private Equity Enforcement Lessons Learned: Compliance Guidance for the PE Business Model is published by Private Fund Watch, a compliance service of Regulatory Compliance Watch and IA Watch, the industry’s most respected online compliance service that thousands of your peers rely on for private fund, investment adviser, broker-dealer and CPO/CTA compliance guidance. It delivers up-to-the-minute news, exclusive analysis, comprehensive compliance tools and a network of compliance peers standing at the ready to assist you. (www.regcompliancewatch.com)
Your 100% satisfaction is guaranteed. If for any reason you are not completely satisfied, simply return the handbook within 30 days for a full refund.
If you need any assistance while ordering, please e-mail customer service at email@example.com or call toll-free 1‑800-455-5844 (option 2, prompt 4).