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T H E P R I M E R U S P A R A D I G M
Regulatory Focus Issues
Private Equity
Compliance
Considerations
Securities Distribution &
Investment Advisory Compliance
Regulations, FCPA, AML, ERISA & VCOCs,
Tax & Other Commercial Compliance
Considerations Relevant to the
Deal/Fund, its Distribution,
Management, etc.
Due Diligence
Registrations, Filings
& Exemptions
Reasonable Basis Suitability and
Customer SpecificSuitability
Custody & Operational
Controls: BD Custody Rules
for PE Deals vs. Custody Rules
for Investment Advisors
to PE Funds
PPM; Sub Document;
Investor Questionnaire;
Selling Agreement
Business &
Project Plan
Industry Legislation of
Portfolio Companies