Private Equity Firms: Beyond SEC Registration as an Investment Adviser How To Build and Administer an Effective Compliance Program

Authors

Susan Mosher, Foreside

Notes

Volumes 1 - 3 of the Review were published under the title Michigan Journal of Private Equity & Venture Capital Law.

Abstract

The Securities and Exchange Commission (the “SEC” or the “Commission”) recently adopted new rules and rule amendments under the Investment Advisers Act of 1940 (the “Advisers Act”) that serve to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).1 The new rules and rule amendments under the Advisers Act relate to provisions of Title IV of the Dodd-Frank Act (the Private Fund Investment Advisers Registration Act of 2010) that, among other things, require certain private fund advisers and private equity firms to register with the Commission.2 This article is intended to assist firms that are newly subject to federal registration requirements with information and practical advice regarding the development of a robust compliance regime tailored to firms’ business operations.

Recommended Citation

Susan Mosher, Private Equity Firms: Beyond SEC Registration as an Investment Adviser How To Build and Administer an Effective Compliance Program, 1 MICH. J. PRIVATE EQUITY & VENTURE CAPITAL L. 177 (2012).