2026 Compliance Guide
Private Equity & VC
Data last verified: January 2026
SOX Requirements for Private Equity & VC
Sarbanes-Oxley Act guidance tailored to Private Equity & VC. Align your controls, testing cadence, and evidence to avoid penalties.
Annual audit as part of financial auditPenalties: Criminal penalties for executives, SEC enforcementIndustries: 2
Portfolio company security
Deal data confidentiality
LP reporting requirements
Pricing verified Q1 202645+ vendor interviews127+ data sourcesUpdated monthly
Required controls and tests
Testing cadence: Annual audit as part of financial audit
Evidence: Map findings to SEC, SOC 2, Investor Requirements
Risk areas: vciso-services, penetration-testing, security-awareness-training
What to prepare
LP security audit
SEC examination
Portfolio breach incident
FAQs
Does SOX apply to Private Equity & VC?
US law for public company financial reporting and internal controls It is commonly required or expected for Private Equity & VC organizations.
How often should Private Equity & VC companies test for SOX?
Annual audit as part of financial audit
What penalties are relevant for Private Equity & VC?
Criminal penalties for executives, SEC enforcement
SOX for Private Equity & VC
Align testing, evidence, and remediation to your regulator and auditor expectations.