Table of Contents - SEC.gov

on rules promulgated under the United States federal securities laws that exempt ..... outline certain of the Company's key compliance policies and procedures.
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Cover Page: LS Power Equity Advisors, LLC ............................................................................ 2  Material Changes ......................................................................................................................... 3  Table of Contents ........................................................................................................................ 3  Advisory Business ....................................................................................................................... 3  Fees and Compensation ............................................................................................................... 4  Performance Based Fees and Side-by-Side Management ........................................................... 4  Types of Clients........................................................................................................................... 5  Methods of Analysis, Investment Strategies and Risk of Loss ................................................... 6  Disciplinary Information ............................................................................................................. 9  Other Financial Industry Activities and Affiliations ................................................................... 9  Code of Ethics, Participation or Interest in Client Transactions and Personal Trading ............ 10  Brokerage Practices ................................................................................................................... 11  Review of Accounts .................................................................................................................. 12  Client Referrals and Other Compensation ................................................................................. 12  Custody...................................................................................................................................... 12  Investment Discretion................................................................................................................ 12  Voting Client Securities ............................................................................................................ 13  Financial Information ................................................................................................................ 13  Cover Page: LSP Credit Advisors I, LLC ................................................................................. 14  Material Changes ....................................................................................................................... 15  Table of Contents ...................................................................................................................... 15  Advisory Business ..................................................................................................................... 15  Fees and Compensation ............................................................................................................. 16  Performance Based Fees and Side-by-Side Management ......................................................... 16  Types of Clients......................................................................................................................... 17  Methods of Analysis, Investment Strategies and Risk of Loss ................................................. 18  Disciplinary Information ........................................................................................................... 20  Other Financial Industry Activities and Affiliations ................................................................. 20  Code of Ethics, Parti