Get Placement Agent Disclosure And S.e.c. Compliance Form - Lacera

Completing the Placement Agent Disclosure and S.E.C. Compliance Form for LACERA ensures transparency and compliance with the established Placement Agent Policy. This guide provides step-by-step instructions for a smooth online filing process.

Follow the steps to fill out the Placement Agent Disclosure form accurately.

1. Click ‘Get Form’ button to access the Placement Agent Disclosure and S.E.C. Compliance Form. Open the document in the preferred editor on your device.
2. Begin by filling in the name of the External Manager at the designated section. Ensure that the name is accurate and matches the legal entity.
3. Provide the complete contact information for the External Manager, including the address and relevant contact person’s details. This is essential for communication regarding the investment.
4. Indicate the purpose of the contact with LACERA by checking the appropriate boxes for 'RFP', 'RFI', 'Emerging Manager Program', 'Private Equity', 'Unsolicited Contact', or 'Other'. Provide necessary explanations where required.
5. Address Part One regarding the use of Placement Agents by answering the questions about whether a Placement Agent was used and whether they will receive compensation. Complete the form based on your answers.
6. Describe the relationship between the External Manager and the Placement Agent, ensuring clarity about the nature of this partnership.
7. Attach resumes for each key individual of the Placement Agent, detailing the necessary qualifications and experiences. Name the individuals whose resumes are attached.
8. Specify any compensation provided to the Placement Agent and for what services. Clarity is crucial to ensure compliance.
9. Finalize by addressing compliance with SEC regulations and confirming if the Placement Agent is registered. Detail any necessary facts regarding lobbying registrations.
10. Review all entries for accuracy and completeness before signing the form. Make sure to update any information that may have changed following completion.
11. Once all sections are thoroughly completed, save the changes, download the document, and print or share it as required to submit the form.

Complete and submit the Placement Agent Disclosure And S.E.C. Compliance Form online today to ensure compliance and transparency.