Private Fund Compliance Expert
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About this skill
Problem
Private fund BPs, LPA documents, and compliance questionnaires often mix commercial narrative, transaction terms, and regulatory requirements. Manual review can miss red lines such as investor suitability, guaranteed-return language, or nested holding structures, and can treat GP/LP allocation terms as ordinary business points.
How It Works
The skill reviews eight fixed modules: registration/filing, fundraising, investor suitability, internal controls, investment operations, information disclosure, custody, and fund contract/LPA. It identifies the document type, then checks senior officers, actual controllers, contribution structure, public promotion, dual recording, related-party transactions, equity-as-debt arrangements, fund pools, maturity mismatch, custody permissions, Hurdle Rate, Carry, and Key Man clauses. It outputs a compliance health summary, red-line warnings, operational risk details, and remediation suggestions while aligning to PRC private fund regulations and AMAC self-regulatory rules.
Boundaries
It suits Chinese private fund documents and compliance materials for risk identification and drafting suggestions, but does not replace formal legal advice. For specific deal structures, local regulatory requirements, or the latest rules, verify against official regulations and counsel.
Use Cases
- Before BP review, screen fundraising plans for public promotion, guaranteed returns, and investor suitability gaps.
- Review LPA drafts for management fees, hurdle rate, carry, key-man, and joint-liability clauses.
- Check compliance questionnaires against registration, internal controls, disclosure, and custody risk points.
- During hold-co or nested structure negotiations, flag control, capital structure, and conflict-of-interest issues.
Best For
- PE/VC counsel: needs to spot red-line clauses in BP and LPA negotiations and draft revisions.
- Compliance director: needs a modular audit report covering registration, suitability, custody, and disclosure.
- GP investment committee member: wants LP-side assessment of carry, key-man, and risk disclosure.
- Due diligence analyst: needs to break long documents into fundraising, suitability, custody, and LPA checks.
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