Regulatory Compliance


Leading private equity fund sponsors worldwide trust Ropes & Gray to provide the regulatory guidance they need.



With one of the largest and most diversified investment management practices, as well as private equity transaction and fund raising practices, we are uniquely qualified to assist sponsors of private equity funds in navigating the regulatory landscape.

We have assisted over 40 leading private equity firms in registering as investment advisers with the SEC and developing Advisers Act compliance programs, and have assisted numerous non-U.S. private equity firms in analyzing their regulatory obligations under U.S. law.

We frequently advise private equity fund sponsors on Advisers Act, Broker-Dealer, Investment Company Act, Commodity Exchange Act, World Sky and other regulatory matters as new funds or products are launched, compliance questions arise, new rules are adopted, or SEC examinations occur.

SEC Exam Alerts

We keep our clients informed of the latest SEC developments and how these affect their business.

Recent SEC exam alerts include:

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