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.
Kindred Capital Co-Invest III LP Files SEC Exemption Claim
Kindred Capital Co-Invest III LP filed a notice under Section 3(c)(1) of the Investment Company Act on March 9, 2026, as per SEC records.
Navigate Ventures Fund II, LP Files SEC Form D/A for Exemption
Navigate Ventures Fund II, LP submitted a Form D/A filing on March 9, 2026, claiming exemption under Investment Company Act Section 3(c)(1), according to SEC EDGAR.
Pelicanview Total Return Fund Files Under Section 3(c)(1)
Pelicanview Total Return Fund, LLC filed a SEC document on March 9, 2026, citing Section 3(c)(1) of the Investment Company Act.
Credit Alternatives Fund LLC Files Section 3(c)(7) Exemption
D/A - Credit Alternatives Fund LLC submitted a SEC filing on March 9, 2026, for exemption under Investment Company Act Section 3(c)(7).
Credit Alternatives Fund Files for Section 3(c)(7) Exemption
D/A - Credit Alternatives Fund, LTD. filed a document with SEC EDGAR on March 9, 2026, related to Section 3(c)(7) of the Investment Company Act.
Douglas Place Holdings LLC Files with SEC
Douglas Place Holdings, LLC submitted a filing to the SEC on March 9, 2026, as recorded in SEC EDGAR documents.
KKR Enhanced US Direct Lending Fund-L Inc. Files SEC Document
KKR Enhanced US Direct Lending Fund-L Inc. filed a document with the SEC on March 9, 2026, according to official records.
KKR US Direct Lending Fund-U Inc. Files with SEC
KKR US Direct Lending Fund-U Inc., with CIK 0001987990, filed a document on the SEC EDGAR system on March 9, 2026.
KHC Partners Offshore Fund II LP Files SEC Document
KHC Partners Offshore Fund II LP submitted a SEC filing on March 9, 2026, related to Section 3(c)(7) of the Investment Company Act.
KHC Partners Fund II LP Files SEC Document for Section 3(c)(7)
KHC Partners Fund II LP submitted a SEC filing on March 9, 2026, related to Investment Company Act exemptions.
Piedmont Partners Offshore L.P. Files SEC Document Under Investment Company Act
D/A - Piedmont Partners Offshore, L.P. filed a SEC document on March 9, 2026, invoking Section 3(c)(7) exemption.
SaddleRock Capital Cayman Fund Files Under Section 3(c)(7)
SaddleRock Capital Cayman Fund Ltd submitted a SEC filing on March 9, 2026, related to Investment Company Act exemptions.
VPC Partners XX LLC Files Under Investment Company Act Section 3(c)(1)
VPC Partners XX LLC submitted a SEC filing on March 9, 2026, citing Section 3(c)(1) of the Investment Company Act.
D - CA-1213 Fund I Files for Section 3(c)(1) Exemption
D - CA-1213 Fund I, a series of Roll Up Vehicles, LP, filed an SEC document on March 9, 2026, related to Section 3(c)(1) of the Investment Company Act.
FINYX FUND US LP Files Under SEC Investment Company Act
FINYX FUND US LP submitted a SEC filing on March 9, 2026, citing Section 3(c)(1) of the Investment Company Act.
LVS Advisory SPV I Files SEC Document
D - LVS Advisory SPV I A Series of V360 Holdings LLC filed a document with the SEC on March 9, 2026, as per EDGAR records.
MV Funds LP Series AC-1120 Fund I Files SEC Exemption
AC-1120 Fund I, a series of MV Funds LP, filed a notice under Section 3(c)(1) of the Investment Company Act on March 9, 2026, as per SEC EDGAR records.
Three Haven Capital Files Under Investment Company Act Section 3(c)(1)
Three Haven Capital, LP submitted a SEC filing on March 9, 2026, related to Section 3(c)(1) exemption.
Alpha Tau Medical Secures Japanese Approval for Alpha DaRT Cancer Therapy
Alpha Tau Medical receives first international regulatory approval for its Alpha DaRT device in Japan for head and neck cancer treatment.
Jain Global Files for 3(c)(7) Exemption, Signaling Institutional Focus
Singapore-based investment manager Jain Global Institutional Holdings registers with SEC under Section 3(c)(7) for qualified purchaser-only fund.
Farallon Capital Files SEC 3(c)(7) Registration, Targets Qualified Purchasers
The San Francisco hedge fund giant's latest SEC filing signals fundraising activity targeting sophisticated institutional investors.
Tenaron Capital Files Form D/A for New Offshore Fund Structure
Investment firm Tenaron Capital has amended its regulatory filing for a new offshore relative value fund targeting sophisticated investors.
