Private Equity Fund Compliance and Governance Audit Checklist

A comprehensive checklist for auditing compliance and governance practices in private equity funds, focusing on regulatory adherence, investor protection, and ethical conduct in fund management.

Private Equity Fund Compliance and Governance Audit Checklist
by: audit-now
4.5

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About This Checklist

In the complex landscape of private equity, maintaining robust compliance and governance practices is crucial for protecting investor interests and ensuring regulatory adherence. This Private Equity Fund Compliance and Governance Audit Checklist is designed to help fund managers and administrators evaluate and enhance their compliance frameworks and governance structures. By systematically assessing key areas of fund operations, regulatory obligations, and investor relations, organizations can identify potential vulnerabilities, ensure alignment with industry best practices, and implement effective governance mechanisms. This comprehensive checklist serves as a vital tool for mitigating regulatory risks, enhancing investor confidence, and maintaining the highest standards of professional conduct in the private equity sector.

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Industry

Financial Services

Standard

ILPA Principles, SEC Investment Advisers Act of 1940, AIFMD

Workspaces

Trading floors

Occupations

Compliance Officer
Legal Counsel
Fund Manager
Investor Relations Professional
Operations Manager

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