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Analysis

Why Law Firms Must Have A Compliance Plan For PE Clients

Law360 (May 17, 2019, 7:23 PM EDT) -- As the SEC focuses on compliance in private equity investments, legal advisers must be ready to help clients assess risk, look for red flags at target companies and implement formal compliance systems, because the simple act of having a plan in place can win favor with regulators.

In recent years, much of the focus when it comes to private equity compliance has centered around matters like conflicts of interest, fee allocation and inadequate disclosure, but those are only a smattering of the potential problems clients should be concerned about.

As private equity firms comb the world for investments, they’ll have to...

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