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.
HPC Foreign Holdings, L.P. Files Under Investment Company Act Section 3(c)(7)
D - HPC Foreign Holdings, L.P. submitted a SEC filing on April 10, 2026, related to Section 3(c)(7) of the Investment Company Act.
Ohio Byte Venture, LLC Files Under Investment Company Act Section 3(c)(7)
Ohio Byte Venture, LLC filed a SEC document on April 10, 2026, citing Section 3(c)(7) of the Investment Company Act.
Timberview Capital-Aspen LLC Files SEC Document
Timberview Capital-Aspen LLC submitted a filing to the SEC on April 10, 2026, as part of standard regulatory processes.
HPC Foreign Holdings, L.P. Files Under Section 3(c)(7)
D - HPC Foreign Holdings, L.P. filed a document with the SEC on April 10, 2026, related to Investment Company Act exemptions.
Ohio Byte Venture, LLC Files SEC Document Under Section 3(c)(7)
Ohio Byte Venture, LLC submitted a filing to the SEC on April 10, 2026, invoking Section 3(c)(7) of the Investment Company Act.
Timberview Capital-Aspen LLC Files SEC EDGAR Document
Timberview Capital-Aspen LLC, with CIK 2129017, filed a document on SEC EDGAR on April 10, 2026, as per official records.
Barings Core Property Fund LP Files D/A with SEC
Barings Core Property Fund LP submitted a D/A filing to the SEC on April 9, 2026, according to EDGAR records.
Barings Core Property Fund LP Files SEC Document
Barings Core Property Fund LP submitted a filing to the SEC on April 9, 2026, with details available in EDGAR records.
Blackburne & Sons Realty Capital Corp Files Document with SEC
Blackburne & Sons Realty Capital Corp submitted a filing to the SEC on April 9, 2026, as per official records.
Blackburne & Sons Realty Capital Corp Files SEC Document
Blackburne & Sons Realty Capital Corp submitted a filing to the SEC on April 9, 2026, as recorded in the EDGAR system.
Cape Ann Fund Files for Section 3(c)(7) Exemption
Cape Ann (Ireland) Trust filed a document for its Global Developing Markets Fund under Section 3(c)(7) of the Investment Company Act on April 9, 2026.
Cape Ann Global Developing Markets Fund Files Under Section 3(c)(7)
Cape Ann (Ireland) Trust submitted a filing for its fund under Section 3(c)(7) of the Investment Company Act on April 9, 2026, according to SEC EDGAR.
Hillpointe Opportunity Zone Fund II Files SEC Form on Investment Exemptions
Hillpointe Opportunity Zone Fund II, LP filed a SEC form on April 9, 2026, citing exemptions under Sections 3(c)(5) and 3(c)(6) of the Investment Company Act.
Hillpointe Opportunity Zone Fund II LP Files SEC Form Under Investment Company Act
Hillpointe Opportunity Zone Fund II LP filed a SEC EDGAR form on April 9, 2026, referencing sections 3(c)(5) and 3(c)(6) of the Investment Company Act.
FOG Ventures Fund III LLC Files Under Investment Company Act
D - GENAI FUND S, a series of FOG Ventures Fund III LLC, filed a document on April 10, 2026, related to Section 3(c)(1) of the Investment Company Act.
Global Evolution EM Debt Fund Files SEC Document for Section 3(c)(7)
D/A - Global Evolution EM Debt Fund filed a SEC document on April 10, 2026, under Item 3C referencing Section 3(c)(7) of the Investment Company Act.
Spark GHC Income Generation Fund LLC Files with SEC
D - Spark GHC Income Generation Fund, LLC filed a document on the SEC EDGAR system on April 10, 2026.
Sufra Capital DLFA Mar 2026 Series Files Under Investment Company Act Section 3(c)(1)
D - Sufra Capital DLFA Mar 2026 a Series of CGF2021 LLC filed a document under Section 3(c)(1) on April 10, 2026, as per SEC EDGAR records.
4Mission Capital, LLC Files SEC Document Under Investment Company Act Section 3(c)(1)
4Mission Capital, LLC submitted a filing to the SEC on April 10, 2026, specifying reliance on Section 3(c)(1) of the Investment Company Act.
GC Creation Fund III Private Investors Offshore Files SEC Document
D - GC Creation Fund III Private Investors Offshore, L.P. filed a document under Investment Company Act Section 3(c)(7) on April 10, 2026, according to SEC EDGAR.
Global Evolution EM Debt Fund Files Under Section 3(c)(7)
D/A - Global Evolution EM Debt Fund submitted a filing to the SEC on April 10, 2026, under Item 3C.7 of the Investment Company Act.
Spark GHC Income Generation Fund LLC Files SEC Document
D - Spark GHC Income Generation Fund, LLC filed a document with the SEC on April 10, 2026, as recorded in the EDGAR database.
Sufra Capital DLFA Mar 2026 Files SEC Document on Investment Company Act
Sufra Capital DLFA Mar 2026, a series of CGF2021 LLC, filed a SEC document on April 10, 2026, citing Section 3(c)(1) of the Investment Company Act.
Bybrook Capital Fund LP Files SEC Document on Investment Company Act
Bybrook Capital Fund LP submitted a filing related to Section 3(c)(7) of the Investment Company Act on April 10, 2026, as per SEC records.
Bybrook Capital Fund LP Files SEC Document on Section 3(c)(7)
Bybrook Capital Fund LP submitted a filing to the SEC on April 10, 2026, under Item 3C.7 related to Section 3(c)(7) of the Investment Company Act.
Donald Smith Value Fund Files for Section 3(c)(7) Exemption
Donald Smith Value Fund, L.P. submitted a SEC filing on April 10, 2026, related to Item 3C.7 under the Investment Company Act.
Donald Smith Value Fund L.P. Files Under Section 3(c)(7)
Donald Smith Value Fund L.P. filed a document with the SEC on April 10, 2026, related to Section 3(c)(7) of the Investment Company Act.
Global Infrastructure Partners Core Feeder B Files SEC Form
Global Infrastructure Partners Core (Feeder B), SCSp RAIF filed a SEC EDGAR document on April 10, 2026, citing Investment Company Act Section 3(c)(7).
MacKay Municipal Credit Opportunities HL Fund Files SEC Document
On April 10, 2026, MacKay Municipal Credit Opportunities HL Fund, L.P. filed a SEC document under Item 3C, specifically Section 3(c)(7) of the Investment Company Act.
MacKay Municipal Credit Opportunities HL Fund Files Under Section 3(c)(7)
MacKay Municipal Credit Opportunities HL Fund, L.P. submitted a SEC filing on April 10, 2026, related to Section 3(c)(7) of the Investment Company Act.
SWS Alternative Investment Fund VI LLC Files SEC Document
D - SWS Alternative Investment Fund VI LLC submitted a filing to the SEC on April 10, 2026, as part of regulatory requirements.
Thrive Capital Partners X Growth-B, L.P. Files SEC Document on Investment Company Act
Thrive Capital Partners X Growth-B, L.P. submitted a filing to the SEC on April 10, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Thrive Capital Partners X Growth-B, L.P. Files Under Investment Company Act Section 3(c)(7)
Thrive Capital Partners X Growth-B, L.P. submitted a SEC filing on April 10, 2026, referencing Section 3(c)(7) of the Investment Company Act.
UK Regulators Plan Stricter Rules for Private Equity-Linked Insurance Structures
UK authorities are preparing to tighten oversight of funded reinsurance transactions involving private equity, as reported by Private Equity Wire.
GPC Partners III (Elk) L.P. Files SEC Document Under Investment Company Act
GPC Partners III (Elk) L.P. submitted a filing to the SEC on April 9, 2026, referencing exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
GPC Partners III (Elk) L.P. Files SEC Notice for Investment Exemptions
GPC Partners III (Elk) L.P. submitted a filing to the SEC on April 9, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Green Pen Fund I, L.P. Files Form D with SEC for Section 3(c)(7)
D - Allocate - Green Pen Fund I, L.P. filed a Form D on April 9, 2026, specifying reliance on Section 3(c)(7) of the Investment Company Act.
Green Pen Fund I, L.P. Files Under Section 3(c)(7) of Investment Company Act
D - Allocate - Green Pen Fund I, L.P. filed a SEC document on April 9, 2026, related to Section 3(c)(7), as reported in SEC EDGAR filings.
Upside Auctions Opportunity Fund LLC Files SEC Document on Investment Company Act
Upside Auctions Opportunity Fund LLC filed a SEC document on April 9, 2026, related to Section 3(c)(5) of the Investment Company Act.
Upside Auctions Opportunity Fund LLC Files Under Investment Company Act
D - Upside Auctions Opportunity Fund LLC filed a document with the SEC on April 9, 2026, related to Section 3(c)(5) of the Investment Company Act.
DCM TGPIP XVII Fund LLC Files SEC Document on Investment Company Act
DCM TGPIP XVII Fund LLC filed a document with the SEC on April 9, 2026, related to Section 3(c)(7) of the Investment Company Act.
DCM TGPIP XVII Fund LLC Files SEC Document on Section 3(c)(7)
DCM TGPIP XVII Fund LLC submitted a SEC filing on April 9, 2026, related to Item 3C.7 under the Investment Company Act.
Neuberger Insurance Fund XV Series Files for Section 3(c)(7) Exemption
Neuberger Insurance Fund XV Series of the SALI Multi-Series Fund filed a form with SEC EDGAR on April 9, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Neuberger Insurance Fund XV Series Files SEC Document
The Neuberger Insurance Fund XV Series of the SALI Multi-Series Fund, L.P. filed a document under the Investment Company Act on April 9, 2026.
Roo Capital Discovery Fund II Files for SEC Exemption
Roo Capital Discovery Fund II, L.P. filed a document with the SEC on April 9, 2026, claiming an exemption under Section 3(c)(1) of the Investment Company Act.
Roo Capital Discovery Fund II Files Under Investment Company Act
D - Roo Capital Discovery Fund II, L.P. filed a SEC document on April 9, 2026, under Section 3(c)(1) of the Investment Company Act.
Twine Ventures Fund II LP Files SEC Exemption Under Investment Company Act
Twine Ventures Fund II LP submitted a SEC filing on April 9, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Twine Ventures Fund II LP Files Under Investment Company Act
Twine Ventures Fund II LP filed a document with SEC EDGAR on April 9, 2026, citing sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Volta NIR Co-Investment, LP Files for Section 3(c)(7) Exemption
Volta NIR Co-Investment, LP submitted a filing to the SEC on April 9, 2026, for an exemption under Section 3(c)(7) of the Investment Company Act.
Volta NIR Co-Investment, LP Files Section 3(c)(7) Document with SEC
D - Volta NIR Co-Investment, LP submitted a filing to the SEC on April 9, 2026, related to Item 3C.7 under the Investment Company Act.
