The Core : Practical Advisers ACT Compliance for the Private Fund Adviser
Enter the market crisis of 2008.
In the fallout, Dodd-Frank amended the Act, ushering in a new world of government oversight for private fund advisers-a world fraught with pitfalls!
Among other things, fund advisers are expected to adopt compliance programs to meet the requirements of innumerable provisions of law, regulations, interpretations, and no-action letters. Most of these were never intended to apply to, and are often ill-fitted to, address the practices of private fund advisers. Whether a seasoned pro or novice, it can be a challenge to sort out what is truly applicable from what is not.
This invaluable resource provides candid advice to help clear up the confusion.
The Core identifies the foundational requirements that all private fund advisers must address within their compliance programs. In plain English, The Core helps advisers to recognize regulatory risks and prepare controls to meet expectations, protect investors, and pass an SEC examination.
- Paperback | 200 pages
- 152 x 229 x 12mm | 299g
- 24 Aug 2015
- United States
- black & white illustrations
Other books in this series
01 Jan 2016
21 Dec 2016
12 Jun 2012
26 Aug 2003
21 Jul 2014
13 Oct 2005
Mixed media product
01 Sep 2014
About Mederic a Daigneault
He graduated Phi Beta Kappa from Wesleyan University and earned his law degree at Boston College Law School. He practiced law as a corporate and securities lawyer before joining NRS in 2004.
Daigneault has assisted hundreds of investment advisers, including scores of private fund managers, in fulfilling their regulatory obligations. He is a frequent speaker at industry conferences and topical seminars sponsored by a wide variety of financial industry associations, vendors, and regulators. He has contributed to and has been sought for comment by leading industry publications regarding complex compliance issues. He lives in Connecticut with his wife and twin daughters.