PF Compliance Toolbox

The SEC has taken its first, tentative steps to opening up private funds to retail investors. There’s still a long way to go, but just ...

This guide was designed to help private fund advisers with their annual review. It comes courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, ...

The Institutional Limited Partners Association has issued a comprehensive deal-by-deal model agreement in hopes of avoiding the kind of ongoing conflicts that have snared private ...

The SEC's Form PF

This is a recent exam letter received by an investment adviser that features private funds.

Click here to open an Excel file that is a template displaying the data required to be reported under the EU's Packaged retail investment and insurance ...

Click here to open an Excel file that is the European Working Group's template containing data points that a U.S.-based adviser that has parties in ...

A peer shares a copy of OCIE's exam letter that included a look at private equity.

A peer shares an example of a supplement to a subscription agreement to make ERISA reps and warranties because of the Labor Department's fiduciary duty ...