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Private Equity Compliance: Analyzing Conflicts, Fees, and Risks Hardcover – Sept. 12 2018

3.0 out of 5 stars 2 ratings

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Product description

From the Inside Flap

Compliance is one of the fastest growing areas in the private equity arena. In today's complex marketplace and with stricter oversight from the US SEC and UK FCA, compliance spending has rapidly outpaced other PE operating costs. Private Equity Compliance offers a much-needed and down-to-earth guide that provides the most current information available on the key private equity compliance challenges and trends. This book provides a next-step resource to Hedge Fund Compliance, author Jason Scharfman's previous book. Private Equity Compliance puts the focus on providing real-world compliance information that is specifically tailored to the current compliance practices employed by general partners in today's private equity industry.

The book is filled with detailed, practical information on developing and managing an efficient and cost-effective private equity compliance program. The author provides guidance on the compliance obligations of private equity firms and their associated funds and offers an overview of the specific obligations of general partners, the role of limited partner advisory committees, and valuation compliance. In addition, Private Equity Compliance contains a wealth of current examples of private equity compliance documentation and policy manuals including compliance manuals, the code of ethics, common fee and expense disclosures and valuation policies.

Scharfman offers critical guidance on managing the compliance risks associated with cybersecurity and information technology. Suggestions for analyzing the strengths and weaknesses of GP compliance functions are included and the book presents insightful interviews with private equity professionals discussing key issues.

Private Equity Compliance is the must-have guide for any private equity investor and compliance officer who wants to develop and manage a reliable compliance program.

From the Back Cover

An Invaluable Guide for Developing and Managing A Private Equity Compliance Program

"The old attitude of doing just enough to not get in trouble with regulators is no longer acceptable when it comes to private equity compliance. Today, regulators and LPs have increasingly demanded that GPs actively embrace the challenge of implementing and maintaining a rigorous compliance infrastructure. GPs are increasingly viewing compliance as not a stumbling block, but an opportunity by which they can improve the oversight, governance and management of their firms and funds. By acknowledging the benefits of thorough compliance management in this way, all constituents in the private equity industry can benefit from continued dialogues in this area and improve the industry as a whole."
—From the Preface

From Jason Scharfman, a leading expert in the field of due diligence, comes an essential resource and guide to developing and managing an ethical and effective compliance program. In addition to the basic information, the book also explores compliance challenges and recent trends. Filled with compelling examples, current practices, information on the obligations of general partners and committee members, suggestions for analyzing a program, and much more, Private Equity Compliance is the much-needed guide for understanding compliance in today's private equity industry.

Product details

  • Publisher ‏ : ‎ Wiley; 1st edition (Sept. 12 2018)
  • Language ‏ : ‎ English
  • Hardcover ‏ : ‎ 224 pages
  • ISBN-10 ‏ : ‎ 1119479622
  • ISBN-13 ‏ : ‎ 978-1119479628
  • Item weight ‏ : ‎ 594 g
  • Dimensions ‏ : ‎ 16 x 2.54 x 22.86 cm
  • Customer Reviews:
    3.0 out of 5 stars 2 ratings

About the author

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Jason Scharfman is the Managing Partner of Corgentum Consulting, LLC ( He is recognized as one of the leading experts in the field of due diligence and is the author of and is the author of several publications including Hedge Fund Compliance: Risks, Regulation and Management (Wiley Finance, 2016), Hedge Fund Governance: Evaluating Oversight, Independence, and Conflicts (Academic Press 2014), Private Equity Operational Due Diligence: Tools to Evaluate Liquidity, Valuation and Documentation (John Wiley & Sons 2012) and Hedge Fund Operational Due Diligence: Understanding the Risks (John Wiley & Sons 2008).

Before founding Corgentum, he previously oversaw the operational due diligence function for a $6 billion alternative investment allocation group called Graystone Research at Morgan Stanley. While at Morgan Stanley, Mr. Scharfman was also a senior member of a team which oversaw all of Morgan Stanley’s hedge fund operational due diligence efforts allocating in excess of $13 billion to a firm-wide platform of over 300 hedge fund managers across multiple investment strategies. Prior to joining Morgan Stanley, he held positions which primarily focused on due diligence and risk management within the alternative investment sector at Lazard Asset Management, SPARX Investments and Research and Thomson Financial.

Mr. Scharfman received a B.S. in Finance with an additional major in Japanese from Carnegie Mellon University, an M.B.A. in finance from Baruch College’s Zicklin School of Business, and a J.D. from St. John’s University School of Law. He is admitted to the practice of law in New York and New Jersey. Additionally, he holds the Certified Fraud Examiner (CFE) and Certified in Risk and Information Systems Control (CRISC) credentials.

Mr. Scharfman's additional experience includes consulting with the U.S. House of Representatives Judiciary Committee on the subject of hedge fund regulation. and providing training to financial regulators on the subject of hedge fund due diligence. He has also served as a consultant and testifying expert on hedge funds and due diligence practices in litigation and arbitration proceedings. Additionally, he has lectured on the subject of hedge fund operations and operational risk as an adjunct professor at New York University. Mr. Scharfman is a member of several industry organizations including the the Information Systems Audit and Control Association (ISACA), the American Bar Association, the New York State Bar Association and the New Jersey State Bar Association. He has written extensively on the subject of due diligence and travels and speaks worldwide on due diligence and operational risks.

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