Navigating the Regulatory Landscape and Avoiding Common Missteps

Private investment funds today face layers of regulation from regulatory bodies in different jurisdictions. Many of these regulators work in coordination with each other and, as a result, private funds may find themselves facing simultaneous inquiries, investigations or enforcement actions involving multiple regulators. In this chapter, published in Private Equity International’s Private Fund Dispute Resolution, SRZ partner Harry S. Davis and former SRZ attorney Brian Burns offer a comprehensive outline of the U.K. and U.S. regulatory compliance and enforcement environment to which private investment funds are subject and discuss in detail the examination and enforcement process followed by regulators.

This chapter is for online viewing only. To view a PDF of the chapter, please click here, or to receive a printed copy of the chapter, contact us at news@srz.com. The full book is also available for purchase on the Private Equity International website.