Private Equity Compliance
Private equity advisers are faced with unique regulatory requirements and risk management matters distinct to the nature of their business model. Establishing a strong culture of compliance and internal control program will help firms protect themselves from such risks. Core Compliance & Legal Services, Inc.℠ ("Core Compliance") assists by providing Chief Compliance Officers with the resources they need to establish and maintain a strong and efficient compliance program customized to the private equity marketplace.
Private Equity Compliance Program Development
The Core Compliance Team evaluates the intricate unique details private equity firms need to consider for their compliance program. Our assessments include evaluation of risk management, investor protections and due diligence protocols prior to and during the capital raising process and investor protection, among others. We proactively provide ongoing training and advisement to the CCO throughout our engagement.
Core Compliance consultants can support your efforts by:
- Assisting with the Development and Testing of the Compliance Program
- Customizing Policies and Procedures to your private equity business
- Assessing client disclosures in contracts, promotional materials, Form ADV and private fund documents
- Analyzing conflicts of interest and consulting on techniques for key areas, such as side-by-side management concerns
- Reviewing promotional materials, fund fact sheets, quarterly commentaries and website materials
- Assisting with due diligence protocols and valuation procedures
- Offering technology solutions to manage the compliance program
For more information, please contact us.