We are pleased to announce the launch of Thompson's Guide to Private Equity Regulatory Compliance, a new, comprehensive resource on the rapidly-evolving universe of regulations impacting private equity firms, published in partnership with Association of Corporate Growth.
The Guide is currently available to pre-order; shipping and online access will begin June 1, 2016. More information can be found at
We've designed this hands-on compliance manual specifically for private equity compliance officers, financial officers and in-house legal counsel as well as legal and accounting advisers, to address your many compliance and regulatory challenges.
• 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
Each subscription includes the Guide to Private Equity Regulatory Compliance, featuring practical tools and regular updates to keep your copy current, plus timely newsletters with lessons from the field and the latest regulatory developments.