Regulatory
Regulatory news for fund managers and LPs: SEC exam priorities, enforcement actions, Advisers Act rule changes, private fund adviser regulation, Investment Company Act exemptions, and cross-border compliance developments.
Securis Non-Life Fund files amended Form D with SEC on Sept. 9, 2026
Securis Non-Life Fund filed an amended Form D on Sept. 9, 2026, indicating reliance on Investment Company Act Sections 3(c)(1) and 3(c)(7).
LuminArx OAS Access Fund, L.P. files Form D on SEC EDGAR
LuminArx OAS Access Fund, L.P. filed a Form D on Sept. 9, 2026, listing Investment Company Act exemptions under Sections 3(c) and 3(c)(7).
Gardenia Japan Opportunity Fund, LP files amended Form D on Sept. 9, 2026
Gardenia Japan Opportunity Fund, LP filed a D/A (amended Form D) on SEC EDGAR on Sept. 9, 2026, citing Investment Company Act Section 3(c)(1).
Real Freedom Income Fund LLC files Form D with the SEC
Real Freedom Income Fund LLC filed a Form D on Sept. 8, 2026, according to SEC EDGAR.
Tenet Water Holdings, LLC files Form D on SEC EDGAR
Tenet Water Holdings, LLC filed a Form D notice dated 2026-09-08, according to SEC EDGAR.
Monomoy Family Fund Parallel, L.P. files Form D citing 3(c)(7) exemption
Monomoy Family Fund Parallel, L.P. filed a Form D on Sept. 8, 2026, listing the Investment Company Act Section 3(c)(7) exemption, according to SEC EDGAR.
Tru Arrow Technology Partners CIV XII, LP files Form D on SEC EDGAR
Tru Arrow Technology Partners CIV XII, LP filed a Form D on Sept. 8, 2026, according to SEC EDGAR.
TP Marval India Fund, LP files Form D/A with SEC under 3(c)(7) exemption
TP Marval India Fund, LP filed a Form D/A on Sept. 8, 2026, with Item 3C marked for Investment Company Act Section 3(c)(7), according to SEC EDGAR.
Constitution Capital Offshore Feeder Fund, SPC files amended Schedule D on EDGAR
Constitution Capital Offshore Feeder Fund, SPC filed an amended Schedule D on EDGAR on 2026-09-08 under accession 0002079998-26-000002.
Crosby Street Fund, L.P. files amended Form D/A citing 3(c)(1) exemption
Crosby Street Fund, L.P. filed a Form D/A on Sept. 8, 2026 on SEC EDGAR, indicating reliance on the Investment Company Act Section 3(c)(1) exemption.
Univest Opportunities Fund LLC, Series I Everline files 3(c)(1) notice on SEC EDGAR
Univest Opportunities Fund LLC, Series I Everline filed a notice on 2026-09-08 indicating reliance on Investment Company Act Section 3(c)(1), according to SEC EDGAR.
Tru Arrow Technology Partners CIV XIII, LP files Form D on SEC EDGAR
Tru Arrow Technology Partners CIV XIII, LP filed a Form D on 2026-09-08, listing an Investment Company Act exemption under Section 3(c)(1).
1729 Capital files Form D on SEC EDGAR under Investment Company Act Section 3(c)(1)
1729 Capital filed a Form D on Sept. 8, 2026, indicating reliance on Investment Company Act Section 3(c)(1), according to SEC EDGAR.
Civitas Partners Fund I, LLC files Form D with SEC
Civitas Partners Fund I, LLC filed a Form D notice on Sept. 8, 2026, according to an SEC EDGAR filing index.
FlexPath EB-5 Fund II LLC files Form D with the SEC
FlexPath EB-5 Fund II LLC filed a Form D notice on Sept. 8, 2026, according to an SEC EDGAR posting.
RGP Income Fund II, LP files amended Form D on SEC EDGAR
RGP Income Fund II, LP filed an amended Form D (D/A) on Sept. 8, 2026, according to SEC EDGAR.
Everside International Fund V, LP files Form D/A on SEC EDGAR
Everside International Fund V, LP filed a Form D/A amendment on Sept. 8, 2026, according to SEC EDGAR.
SEC proposes scrapping investment adviser pay-to-play rule affecting PE donations
The SEC is proposing to scrap its 2010 pay-to-play rule for investment advisers, a change that could affect how private equity firms make political contributions while managing government-backed asset
MissionOG Parallel Fund IV, L.P. files Form D with SEC EDGAR
MissionOG Parallel Fund IV, L.P. filed a Form D on Sept. 4, 2026, according to an SEC EDGAR index page.
Sound Ventures V, L.P. files Form D notice with SEC
Sound Ventures V, L.P. submitted a Form D filing on Sept. 4, 2026, according to SEC EDGAR.
Dealbreaker: Private equity pitches law-firm MSOs, raising Rule 5.6 non-compete concerns
Dealbreaker reports private equity is exploring law-firm MSO structures that may enable non-competes for lawyers despite ethical rules barring practice restrictions.
Stellar Growth Fund LP files Form D under Rule 504 and 3(c)(1) exemption
Stellar Growth Fund LP filed a Form D on Sept. 4, 2026, indicating a Rule 504(b)(1) offering and a 3(c)(1) Investment Company Act exemption.
ASW Holdings, LLC files Form D notice on SEC EDGAR
ASW Holdings, LLC filed a Form D notice on Sept. 4, 2026, according to an SEC EDGAR index page for accession 0001653608-26-000002.
Benetton family wins approvals for 21 Next, a €3bn European private markets platform
Benetton family holding company Edizione is combining 21 Invest and 21 Tages into 21 Next, a newly approved European private markets platform with about €3bn AUM.
IDA Ventures VII LLC files Form D on SEC EDGAR under Investment Company Act 3(c)(1)
IDA Ventures VII LLC filed a Form D on 2026-09-04, with the filing indicating reliance on Investment Company Act Section 3(c)(1).
EQT-backed Cerba Healthcare seeks French court-supervised restructuring amid ~€5bn debt
Cerba Healthcare has asked a French commercial court to open supervised restructuring proceedings as it seeks to address debt of around €5bn and strengthen liquidity.
MissionOG Fund IV, L.P. files Form D on SEC EDGAR
MissionOG Fund IV, L.P. filed a Form D on Sept. 4, 2026, according to an SEC EDGAR index page.
Juniper Fund Cayman, LLC files D/A on SEC EDGAR citing Investment Company Act 3(c)(1)
Juniper Fund Cayman, LLC filed a D/A on 2026-09-04 with SEC EDGAR under accession number 0001936929-26-000003, citing Investment Company Act Section 3(c)(1).
Stafford VC Fund I, LP files Form D/A on SEC EDGAR
Stafford VC Fund I, LP filed a Form D/A on Sept. 4, 2026, indicating a 3(c)(1) exemption under the Investment Company Act, according to SEC EDGAR.
Armistice Capital Offshore Fund Ltd. files Form D/A citing 3(c)(7) exemption
Armistice Capital Offshore Fund Ltd. filed a Form D/A on Sept. 4, 2026, and the filing references Investment Company Act Section 3(c)(7).
Extract Capital LP files amended Form D/A citing 3(c)(7) exemption
Extract Capital LP filed a Form D/A on Sept. 4, 2026 that references Investment Company Act Section 3(c)(7), according to SEC EDGAR.
Siguler Guff Global Emerging Markets Growth Opportunities Fund II (A), LP files amended D
Siguler Guff Global Emerging Markets Growth Opportunities Fund II (A), LP filed a Form D/A on Sept. 3, 2026, according to SEC EDGAR.
STRUC Ventures, a Series of Decile Start Fund, LP files Form D under Section 3(c)(1)
STRUC Ventures, a Series of Decile Start Fund, LP filed a Form D on Sept. 3, 2026, indicating reliance on Investment Company Act Section 3(c)(1).
Butler Hall Capital LP files amended Form D/A citing 3(c)(7) exemption
Butler Hall Capital LP filed a Form D/A on Sept. 3, 2026, with SEC EDGAR, indicating reliance on Investment Company Act Section 3(c)(7).
Acadian All Country World Managed Volatility Equity Fund files D/A under 3(c)(7)
Acadian All Country World Managed Volatility Equity Fund, LLC filed a D/A on Sept. 3, 2026 with SEC EDGAR, listing Investment Company Act Section 3(c)(7) in Item 3C.7.
SEC EDGAR shows Form D filings for Imagen Dental Partners, LLC dated Sept. 1, 2026
SEC EDGAR lists two Form D entries for Imagen Dental Partners, LLC with Delaware incorporation and fiscal year end 1231, filed Sept. 1, 2026.
Acadian International Equity Fund, LLC files Form D/A under 3(c)(1) exemption
Acadian International Equity Fund, LLC filed a Form D/A on Sept. 3, 2026, indicating reliance on the Investment Company Act Section 3(c)(1) exemption.
Solene Capital Master Fund LLC Files SEC Notice for Series 1
Solene Capital Master Fund LLC Series 1 submitted a Form D filing with the SEC claiming Section 3(c)(1) and 3(c)(7) exemptions under the Investment Company Act.
Shannon River ASP Fund Files D/A Notice With SEC
Shannon River ASP Fund, a series of Alternative Strategies Platform, LLC, submitted a D/A filing under Section 3(c)(7) on August 28, 2026.
Andurand Commodities Discretionary Enhanced Fund Files D/A
Andurand Commodities Discretionary Enhanced Fund submitted a D/A filing on September 3, 2026, referencing Section 3(c)(7) of the Investment Company Act.
GH Opportunity Fund LP files D/A on SEC EDGAR under Investment Company Act Section 3(c)
GH Opportunity Fund LP filed a D/A on Sept. 1, 2026, with SEC EDGAR that references Investment Company Act Section 3(c), including 3(c)(1) and 3(c)(7).
Khosla Ventures GI SPV II, LLC files Form D with SEC under 3(c)(1) and 3(c)(7)
Khosla Ventures GI SPV II, LLC filed a Form D on Sept. 3, 2026, with SEC EDGAR listing Investment Company Act exemptions 3(c)(1) and 3(c)(7).
Acadian Sustainable Emerging Markets Equity Ex-Fossil Fuel Fund Files SEC Amendment
Acadian Sustainable Emerging Markets Equity Ex-Fossil Fuel Fund, LLC submitted a D/A filing to the SEC on September 3, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Marshall Wace Eureka ASP Fund Files D/A on August 28 2026
Marshall Wace Eureka ASP Fund, a series of Alternative Strategies Platform, LLC, submitted a D/A filing under Investment Company Act Section 3(c)(7).
Griffin Special Opportunities Fund, L.P. files Form D under 3(c)(7) exemption
Griffin Special Opportunities Fund, L.P. filed a Form D on Sept. 3, 2026, listing Investment Company Act Section 3(c)(7) on SEC EDGAR.
ABS Global Long Short ASP Fund Files SEC Notice
ABS Global Long Short ASP Fund, a series of Alternative Strategies Platform, LLC, submitted a filing to the SEC on August 28, 2026, under Section 3(c)(7).
Logos Global Offshore Fund Ltd. files D/A amendment citing 3(c)(7) exemption
Logos Global Offshore Fund Ltd. filed a D/A on Sept. 1, 2026 on SEC EDGAR that references Investment Company Act Section 3(c)(7).
SALI Multi-Series Fund files D/A for Bernstein Diversified Targeted Services Insurance Fund
A 2026-09-01 SEC EDGAR filing shows a D/A for interests in the Bernstein Diversified Targeted Services Insurance Fund Series of SALI Multi-Series Fund, L.P.
Acadian Global All-Country ex-U.S. ex-China Equity Dynamic Extension Fund Files D/A
Acadian Global All-Country ex-U.S. ex-China Equity Dynamic Extension Fund, LLC submitted a D/A filing under Section 3(c)(7) of the Investment Company Act on September 3, 2026.
Laxmi Holdings LLC Files SEC Document August 28 2026
Laxmi Holdings LLC (CIK 0002137844) submitted a filing to the SEC on August 28 2026.
