Abstract
Purpose – The purpose of this paper is to explain various regulatory risks and problem areas facing private equity firms and to recommend compliance policies and procedures to minimize those risks. Design/methodology/approach – The paper explains several problem areas that have been the subject of regulatory investigations, including fees and expenses, antitrust, the Foreign Corrupt Practices Act (FCPA), fundraising, and insider trading. Findings – Regulators and prosecutors are increasingly focusing on private equity firms. Practical implications – Many private equity advisers met their registration deadlines but have not dedicated meaningful attention to customizing and implementing compliance policies and procedures, often purchased from non-law firm compliance consultants. Now is the time to take the next step. Originality/value – Practical guidance from experienced financial services lawyers.
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