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Private Equity Compliance
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Book Synopsis Private Equity Compliance by : Jason A. Scharfman
Download or read book Private Equity Compliance written by Jason A. Scharfman and published by John Wiley & Sons. This book was released on 2018-09-12 with total page 229 pages. Available in PDF, EPUB and Kindle. Book excerpt: Develop and manage a private equity compliance program Compliance has become one of the fastest-growing areas in the private equity (PE) space. Mirroring trends from the hedge fund industry, recent surveys indicate that PE managers rank compliance as the single most challenging aspect of their business. Reports also indicate that PE compliance spending has rapidly outpaced other PE operating costs with recent estimates indicating that individual PE funds on average spend at least 15 - 20% of their operating budgets on this area. General Partners (GPs) have also significantly ramped up the hiring of private equity compliance related roles. Private Equity Compliance provides current and practical guidance on key private equity (PE) compliance challenges and trends. Packed with detailed, practical guidance on developing and managing a private equity compliance program, it offers up-to-date case studies and an analysis of critical regulatory enforcement actions on private equity funds in areas including conflict of interest, fees, expenses, LP fun raising disclosures, and valuations. • Provides real-world compliance guidance • Offers information that is tailored to the current compliance practices employed by GPs in the private equity industry. • Provides guidance on managing the compliance risks associated with cybersecurity and information technology risk • Serves as a PE-focused complement to the author's previous book, Hedge Fund Compliance If you’re a private equity investor or compliance officer looking for trusted guidance on analyzing conflicts, fees, and risks, this is one reference you can’t be without.
Book Synopsis Private Equity Funds by : James M. Schell
Download or read book Private Equity Funds written by James M. Schell and published by Law Journal Press. This book was released on 2023-08-28 with total page 864 pages. Available in PDF, EPUB and Kindle. Book excerpt: "The best guide to private equity funds. Insight and explanations for both fund sponsors and investors. The gold standard." --Andrew Zalasin, General Partner and CFO: RRE Ventures Best Practices for Organizing and Managing a Fund With nearly $7 trillion invested in more than 20,000 funds, investor interest in the private equity industry has returned, despite the economic turmoil of recent years. Still, guidance about the organization and administration of these funds is tough to find. This 1,400+ page resource, will equip corporate lawyers, investment professionals, and tax practitioners and with best practices to manage these funds effectively. Private Equity Funds: Business Structure and Operations covers a wide range of important issues, such as: the key economic differences between various types of funds; structuring the private equity fund to meet economic expectations and investment goals; securing maximum tax benefits for the sponsor of the fund; duties of the fund's General Partner and Investment Advisor; the major regulatory issues affecting the private equity fund; and much more. Private Equity Funds: Business Structure and Operations reflects the aftermath of the financial crisis of 2007 to 2009. The authors also focus on cyber risk and the compliance obligations of investment advisers.
Book Synopsis Hedge Fund Compliance by : Jason A. Scharfman
Download or read book Hedge Fund Compliance written by Jason A. Scharfman and published by John Wiley & Sons. This book was released on 2016-12-19 with total page 214 pages. Available in PDF, EPUB and Kindle. Book excerpt: The long-awaited guide for modern hedge fund compliance program development Hedge Fund Compliance + Website provides straightforward, practical guidance toward developing a hedge fund compliance program, drawn from the author's experience training financial regulators, consulting with government entities, and analyzing hedge fund compliance structures across the globe. In-depth explanations of compliance principles are backed by illustrative case studies and examples. Highly in-demand templates of popular hedge fund compliance documentation provide actionable illustrations of key compliance policies. Designed to assist investors, fund managers, service providers, and compliance job seekers directly, this book describes the fundamental building blocks of the hedge fund compliance function. Compliance is one of the fastest growing areas in the hedge fund space. This reference book provides an essential foundation in modern hedge fund compliance, reflecting the recent changes of this dynamic field. Design and run a hedge fund compliance program Access templates of core compliance documentation and checklists Discover how investors can evaluate and monitor compliance programs Interviews with hedge fund compliance practitioners A steady stream of regulatory changes, combined with the enhanced enforcement efforts of regulators, ensure that hedge funds' compliance-related expenditures will continue to grow. While hedge fund compliance legislation continues to evolve globally, little practical guidance exists for those tasked with the boots-on-the-ground aspects of developing an actual compliance program to comply with best practices and regulatory guidance from leading hedge fund regulators including the US Securities and Exchange Commission, the National Futures Association, the Commodity Futures Trading Commission and the United Kingdom's Financial Conduct Authority. Hedge fund professionals and investors need a fundamental framework for establishing and evaluating an effective program, and when compliance is the issue, trial and error carries too much risk. Hedge Fund Compliance + Website provides clear guidance and practical tools to meet today's compliance professional needs.
Book Synopsis Private Equity and Venture Capital by : Anna Gervasoni
Download or read book Private Equity and Venture Capital written by Anna Gervasoni and published by . This book was released on 2014-05-05 with total page 445 pages. Available in PDF, EPUB and Kindle. Book excerpt: After the financial crisis, private equity and venture capital firms have been operating in an increasingly uncertain environment, with economic fragility and market volatility making investment sluggish. The industry faces difficult questions from regulators and legislators who are scrutinizing regulatory, compliance, and tax issues. The days of self-regulation are a thing of the past. Editor Anna Gervasoni, General Manager of the AIFI since 1986, has assembled a team of contributors working at the very heart of the industry to collectively track the evolution of the private equity and venture capital industry.
Book Synopsis Hedge Funds by : Stephanie R. Breslow
Download or read book Hedge Funds written by Stephanie R. Breslow and published by . This book was released on 2018-09-28 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Hedge funds covers hedge fund investment strategies, domestic /off-shore hedge fund structure/tax considerations, terms, fees, related considerations for sponsors and investors, and more.
Book Synopsis The Law of Private Investment Funds by : Timothy Spangler
Download or read book The Law of Private Investment Funds written by Timothy Spangler and published by OUP Oxford. This book was released on 2012-09-06 with total page 413 pages. Available in PDF, EPUB and Kindle. Book excerpt: The new edition of The Law of Private Investment Funds offers a practical analysis of the legal and regulatory issues that arise in connection with the structuring, formation, and operation of private investment funds, including hedge funds, private equity funds, real estate funds, and other non-retail collective investment vehicles. The book provides a unique analysis of these funds on a pan-asset class basis, as well as from a US, UK, and European perspective. The themes of investor protection and fiduciary challenge are considered in the context of the various sources available for investor protection including the substantive rights and obligations under general law, and voluntary and statutory rights of regulation. The author considers the various aspects of running private investment funds against the backdrop of regulation and investor protection. Issues such as structuring and launching, and marketing private investment funds are considered in full. The author also looks at the governance challenge where limited partnerships and offshore companies are concerned. The book identifies governance as a key issue for private investment fund participants and discusses in depth several ways in which managers and fund participants can improve the governance of their funds. In addition it analyses the consequences and impact of the recent global financial crisis on private funds, and the response of the US, UK, and European regulators. The new edition includes increased coverage of best practice and industry guidelines, including the ILPA Guidelines for private equity funds, and the MFA's Best Practices for hedge funds. It also provides discussion of new regulatory regimes in the US and EU, including the Dodd Frank Act and AIFMD.
Book Synopsis Private Equity by : Harry Cendrowski
Download or read book Private Equity written by Harry Cendrowski and published by John Wiley & Sons. This book was released on 2012-03-22 with total page 389 pages. Available in PDF, EPUB and Kindle. Book excerpt: An authoritative guide to understanding the world of private equity (PE) investing, governance structures, and operational assessments of PE portfolio companies An essential text for any business/finance professional's library, Private Equity: History, Governance, and Operations, Second Edition begins by presenting historical information regarding the asset class. This information includes historical fundraising and investment levels, returns, correlation of returns to public market indices, and harvest trends. The text subsequently analyzes PE fund and portfolio company governance structures. It also presents ways to improve existing governance structures of these entities. A specific focus on portfolio company operations, including due diligence assessments, concludes the text. Seamlessly blends historical information with practical guidance based on risk management and fundamental accounting techniques Assists the book's professional audience in maximizing returns of their PE investments Highly conducive to advanced, graduate-level classroom use Purchase of the text includes access to a website of teaching materials for instructional use Learn more about PE history, governance, and operations with the authoritative guidance found in Private Equity: History, Governance, and Operations, Second Edition.
Book Synopsis Private Equity Demystified by : John Gilligan
Download or read book Private Equity Demystified written by John Gilligan and published by Oxford University Press. This book was released on 2020-11-04 with total page 434 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book deals with risk capital provided for established firms outside the stock market, private equity, which has grown rapidly over the last three decades, yet is largely poorly understood. Although it has often been criticized in the public mind as being short termist and having adverse consequences for employment, in reality this is far from the case. Here, John Gilligan and Mike Wright dispel some of the biggest myths and misconceptions about private equity. The book provides a unique and authoritative source from a leading practitioner and academic for practitioners, policymakers, and researchers that explains in detail what private equity involves and reviews systematic evidence of what the impact of private equity has been. Written in a highly accessible style, the book takes the reader through what private equity means, the different actors involved, and issues concerning sourcing, checking out, valuing, and structuring deals. The various themes from the systematic academic evidence are highlighted in numerous summary vignettes placed alongside the text that discuss the practical aspects. The main part of the work concludes with an up-to-date discussion by the authors, informed commentators on the key issues in the lively debate about private equity. The book further contains summary tables of the academic research carried out over the past three decades across the private equity landscape including: the returns to investors, economic performance, impact on R&D and employees, and the longevity and life-cycle of private equity backed deals.
Book Synopsis Modern Compliance by : John H. Walsh
Download or read book Modern Compliance written by John H. Walsh and published by . This book was released on 2017-10-15 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Private Equity Operational Due Diligence, + Website by : Jason A. Scharfman
Download or read book Private Equity Operational Due Diligence, + Website written by Jason A. Scharfman and published by John Wiley & Sons. This book was released on 2012-04-10 with total page 405 pages. Available in PDF, EPUB and Kindle. Book excerpt: A step-by-step guide to develop a flexible comprehensive operational due diligence program for private equity and real estate funds Addressing the unique aspects and challenges associated with performing operational due diligence review of both private equity and real estate asset classes, this essential guide provides readers with the tools to develop a flexible comprehensive operational due diligence program for private equity and real estate. It includes techniques for analyzing fund legal documents and financial statements, as well as methods for evaluating operational risks concerning valuation methodologies, pricing documentation and illiquidity concerns. Covers topics including fund legal documents and financial statement analysis techniques Includes case studies in operational fraud Companion website includes sample checklists, templates, spreadsheets, and links to laws and regulations referenced in the book Equips investors with the tools to evaluate liquidity, valuation, and documentation Also by Jason Scharfman: Hedge Fund Operational Due Diligence: Understanding the Risks Filled with case studies, this book is required reading for private equity and real estate investors, as well as fund managers and service providers, for performing due diligence on the noninvestment risks associated with private equity and real estate funds.
Book Synopsis Alternative Investment Operations by : Jason Scharfman
Download or read book Alternative Investment Operations written by Jason Scharfman and published by Springer Nature. This book was released on 2020-08-29 with total page 204 pages. Available in PDF, EPUB and Kindle. Book excerpt: Alternative investments such as hedge funds, private equity, and fund of funds continue to be of strong interest among the investment community. As these investment strategies have become increasingly complex, fund managers have continued to devote more time and resources towards developing best practice operations to support the actual trade processing, fund accounting, and back-office mechanics that allow these strategies to function. Representative of this operational growth, estimates have indicated that fund managers have seen increased operating budgets of 30% or more in recent years. In today’s highly regulated environment, alternative investment managers have also increasingly had to integrate rigorous compliance and cybersecurity oversight into fund operations. Additionally, with recent advances in artificial intelligence and big data analysis, fund managers are devoting larger portions of their information technology budgets towards realizing technology-based operational efficiencies. Alternative investment fund service providers have also substantially increased their scope and breadth of their operations-related services. Furthermore, investors are increasingly performing deep-dive due diligence on fund manager operations at both fund level and management company levels. This book provides current and practical guidance on the foundations of how alternative investment managers build and manage their operations. While other publications have focused on generalized overviews of historical trading procedures across multiple asset classes, and the technical intricacies of specific legacy operational procedures, Alternative Investment Operations will be the first book to focus on explaining up-to-date information on the specific real-world operational practices actually employed by alternative investment managers. This book will focus on how to actually establish and manage fund operations. Alternative Investment Operations will be an invaluable up-to-date resource for fund managers and their operations personnel as well as investors and service providers on the implementation and management of best practice operations.
Book Synopsis Investment Adviser's Legal and Compliance Guide, 3rd Edition by : O'Malley, Walsh
Download or read book Investment Adviser's Legal and Compliance Guide, 3rd Edition written by O'Malley, Walsh and published by Wolters Kluwer. This book was released on 2019-06-18 with total page 990 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide
Book Synopsis Private Equity Operational Due Diligence by : Jason A. Scharfman
Download or read book Private Equity Operational Due Diligence written by Jason A. Scharfman and published by John Wiley & Sons. This book was released on 2012-02-28 with total page 405 pages. Available in PDF, EPUB and Kindle. Book excerpt: A step-by-step guide to develop a flexible comprehensive operational due diligence program for private equity and real estate funds Addressing the unique aspects and challenges associated with performing operational due diligence review of both private equity and real estate asset classes, this essential guide provides readers with the tools to develop a flexible comprehensive operational due diligence program for private equity and real estate. It includes techniques for analyzing fund legal documents and financial statements, as well as methods for evaluating operational risks concerning valuation methodologies, pricing documentation and illiquidity concerns. Covers topics including fund legal documents and financial statement analysis techniques Includes case studies in operational fraud Companion website includes sample checklists, templates, spreadsheets, and links to laws and regulations referenced in the book Equips investors with the tools to evaluate liquidity, valuation, and documentation Also by Jason Scharfman: Hedge Fund Operational Due Diligence: Understanding the Risks Filled with case studies, this book is required reading for private equity and real estate investors, as well as fund managers and service providers, for performing due diligence on the noninvestment risks associated with private equity and real estate funds.
Book Synopsis Investment Adviser Regulation by : Clifford E. Kirsch
Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Book Synopsis The Competitive Advantage by : Todd Cipperman
Download or read book The Competitive Advantage written by Todd Cipperman and published by . This book was released on 2018-10-15 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Practical Advisers Act Compliance for the Private Fund Adviser by : Mederic A. Daigneault
Download or read book Practical Advisers Act Compliance for the Private Fund Adviser written by Mederic A. Daigneault and published by CreateSpace. This book was released on 2015-08-24 with total page 200 pages. Available in PDF, EPUB and Kindle. Book excerpt: It's no secret that investment advisers to hedge funds, private equity, and other private funds have been subjected to intense regulatory scrutiny of late. Yet, until recently, most were not required to register under the Investment Advisers Act and were not subject to any of its rules. Enter the market crisis of 2008. In the fallout, Dodd-Frank amended the Act, ushering in a new world of government oversight for private fund advisers-a world fraught with pitfalls! Among other things, fund advisers are expected to adopt compliance programs to meet the requirements of innumerable provisions of law, regulations, interpretations, and no-action letters. Most of these were never intended to apply to, and are often ill-fitted to, address the practices of private fund advisers. Whether a seasoned pro or novice, it can be a challenge to sort out what is truly applicable from what is not. This invaluable resource provides candid advice to help clear up the confusion. The Core identifies the foundational requirements that all private fund advisers must address within their compliance programs. In plain English, The Core helps advisers to recognize regulatory risks and prepare controls to meet expectations, protect investors, and pass an SEC examination.
Download or read book World Class IT written by Peter A. High and published by John Wiley & Sons. This book was released on 2009-10-27 with total page 192 pages. Available in PDF, EPUB and Kindle. Book excerpt: World Class IT Technology is all around us. It is so pervasive in our daily lives that we may not even recognize when we interact with it. Despite this fact, many companies have yet to leverage information technology as a strategic weapon. What then is an information technology executive to do in order to raise the prominence of his or her department? In World Class IT, recognized expert in IT strategy Peter High reveals the essential principles IT executives must follow and the order in which they should follow them whether they are at the helm of a high-performing department or one in need of great improvement. Principle 1: Recruit, train, and retain World Class IT people Principle 2: Build and maintain a robust IT infrastructure Principle 3: Manage projects and portfolios effectively Principle 4: Ensure partnerships within the IT department and with the business Principle 5: Develop a collaborative relationship with external partners The principles and associated subprinciples and metrics introduced in World Class IT have been used by IT and business executives alike at many Global 1000 companies to monitor and improve IT's performance. Those principles pertain as much to the leaders of IT as they do to those striving to emulate them.
