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.
Altum Credit Fund Files SEC Document on Investment Company Act Section 3(c)(7)
Altum Credit Fund, Ltd. submitted a SEC filing on March 13, 2026, citing Investment Company Act Section 3(c)(7), as per official records.
Altum Credit Fund Files SEC Notice for Section 3(c)(7) Exemption
Altum Credit Fund, L.P. submitted a SEC filing on March 13, 2026, related to Section 3(c)(7) of the Investment Company Act.
D - Direct Lending Continuation Fund I SLP Files Under Investment Company Act Section 3(c)(7)
D - Direct Lending Continuation Fund I SLP filed a notice on March 13, 2026, citing Section 3(c)(7) of the Investment Company Act, according to SEC EDGAR.
Discovery Global Opportunity Partners Files SEC Document on Section 3(c)(7)
Discovery Global Opportunity Partners, L.P. submitted a filing to the SEC on March 13, 2026, related to Item 3C and Section 3(c)(7) of the Investment Company Act.
Magnetar Investment APPK LP Files SEC Document on Investment Company Act Section 3(c)(7)
Magnetar Investment APPK LP submitted a SEC filing on March 13, 2026, related to Investment Company Act exemptions under Section 3(c)(7).
AlphaKeys Strategic Partners Offshore X, L.P. Files SEC Notice for Section 3(c)(7)
AlphaKeys Strategic Partners Offshore X, L.P. filed a document with the SEC on March 13, 2026, under Item 3C.7 for Section 3(c)(7) of the Investment Company Act.
AlphaKeys Strategic Partners Offshore X, L.P. Files Under Investment Company Act Section 3(c)(7)
D - AlphaKeys Strategic Partners Offshore X, L.P. filed a document with the SEC on March 13, 2026, citing Section 3(c)(7) of the Investment Company Act.
HOPE Ventures II, LLC Files for Section 3(c)(1) Exemption
HOPE Ventures II, LLC submitted a SEC filing on March 13, 2026, for an exemption under Section 3(c)(1) of the Investment Company Act.
HOPE Ventures II, LLC Files Under Investment Company Act Section 3(c)(1)
HOPE Ventures II, LLC submitted a SEC filing on March 13, 2026, for Item 3C.1 under Section 3(c)(1) of the Investment Company Act.
Oxshott Venture Fund VIII LLC Files Under Section 3(c)(1)
Oxshott Venture Fund VIII LLC submitted a SEC filing on March 13, 2026, for exemption under Section 3(c)(1) of the Investment Company Act.
Shakti Venture Capital Gatik, LLC Files SEC Notice for Investment Company Act Exemption
Shakti Venture Capital Gatik, LLC submitted a filing on March 13, 2026, under Section 3(c)(1) of the Investment Company Act, as per SEC EDGAR records.
Silvercrest Insurance Fund Files Under Section 3(c)(7)
D - TALSON - SILVERCREST INSURANCE FUND, LP filed a document with the SEC on March 13, 2026, related to Section 3(c)(7) of the Investment Company Act.
Silvercrest Insurance Fund LP Files SEC Document for Section 3(c)(7)
D - TALSON - SILVERCREST INSURANCE FUND, LP filed a SEC document on March 13, 2026, related to Item 3C.7 under the Investment Company Act.
Morgan Stanley Limits Redemptions in Private Credit Fund
Morgan Stanley restricted withdrawals from its North Haven Private Income Fund after investors requested nearly 11% of shares, as reported by Private Equity Wire.
Pabrai Investment Fund 2, L.P. Files Under Investment Company Act Section 3(c)(1)
Pabrai Investment Fund 2, L.P. submitted a filing on March 12, 2026, referencing Section 3(c)(1) of the Investment Company Act, according to SEC EDGAR.
D - Woven Equity Fund, LP Files SEC Document Under Section 3(c)(1)
D - Woven Equity Fund, LP submitted a filing to the SEC on March 12, 2026, related to Section 3(c)(1) of the Investment Company Act.
Pabrai Investment Fund 3 Files SEC Notice for Section 3(c)(1) Exemption
Pabrai Investment Fund 3, Ltd. filed a SEC document on March 12, 2026, claiming an exemption under Section 3(c)(1) of the Investment Company Act.
Pabrai Investment Fund 2, L.P. Files Under SEC Investment Company Act Section 3(c)(1)
Pabrai Investment Fund 2, L.P. submitted a filing to the SEC on March 12, 2026, citing Item 3C and Section 3(c)(1) of the Investment Company Act.
Pabrai Investment Fund 3 Files Under Investment Company Act Section 3(c)(1)
Pabrai Investment Fund 3, Ltd. submitted a SEC filing on March 12, 2026, citing Section 3(c)(1) of the Investment Company Act.
Woven Equity Fund Files for Section 3(c)(1) Exemption
D - Woven Equity Fund, LP submitted a SEC filing on March 12, 2026, for exemption under Section 3(c)(1) of the Investment Company Act.
Carnatic Partners LP Files for Section 3(c)(1) Exemption
Carnatic Partners LP submitted a SEC filing on March 12, 2026, for exemption under Section 3(c)(1) of the Investment Company Act.
Carnatic Partners LP Files SEC Document Under Section 3(c)(1)
Carnatic Partners LP filed a SEC document on March 12, 2026, related to Item 3C of the Investment Company Act, specifically Section 3(c)(1).
Creative Planning Employee Investment, LLC Files SEC Form D
Creative Planning Employee Investment, LLC submitted a Form D filing to the SEC on March 12, 2026, detailing company and regulatory information.
D - RP 200 N HOLDINGS, LLC Files SEC Document on Investment Company Act
D - RP 200 N HOLDINGS, LLC filed a SEC document on March 12, 2026, referencing Section 3(c) of the Investment Company Act.
D - RP 200 N HOLDINGS, LLC Files SEC Document Under Investment Company Act Section 3(c)(7)
D - RP 200 N HOLDINGS, LLC submitted a filing to the SEC on March 12, 2026, related to Section 3(c)(7) of the Investment Company Act.
ICONIQ Strategic Partners VII Co-Invest Files SEC Exemption Under Section 3(c)(7)
ICONIQ Strategic Partners VII Co-Invest, L.P. (Series Q) filed a notice with the SEC on March 12, 2026, claiming exemption under Section 3(c)(7) of the Investment Company Act.
Iconiq Strategic Partners VII Co-Invest Files SEC Notice for Section 3(c)(7) Exemption
ICONIQ Strategic Partners VII Co-Invest, L.P. (Series Q) filed a notice with the SEC on March 12, 2026, under Section 3(c)(7) of the Investment Company Act.
ICONIQ Strategic Partners VIII Co-Invest Files SEC Form Under Investment Company Act
ICONIQ Strategic Partners VIII Co-Invest, L.P. (Series Q) filed a document with the SEC on March 12, 2026, referencing Section 3(c)(7) of the Investment Company Act.
ICONIQ Strategic Partners VIII Co-Invest Files SEC Notice on Investment Company Act
ICONIQ Strategic Partners VIII Co-Invest, L.P. (Series Q) filed a SEC document on March 12, 2026, related to Section 3(c)(7) of the Investment Company Act.
D - 9038 21ST AVE SW PARTNERS, LLC Files SEC Document
D - 9038 21ST AVE SW PARTNERS, LLC submitted a filing to the SEC on March 12, 2026, as per regulatory records.
Griffin Capital Development Partners Fund III L.P. Files Under Investment Company Act Section 3(c)(5)
Griffin Capital Development Partners Fund III L.P. filed a document with the SEC on March 12, 2026, related to Section 3(c)(5) of the Investment Company Act.
Griffin Capital DST Files Under Investment Company Act Section 3(c)(5)
Griffin Capital's DST entity in Kansas City, MO, filed a regulatory document with the SEC on March 12, 2026, citing Section 3(c)(5) of the Investment Company Act.
Prototype Fund I LP Files SEC Document Under Investment Company Act
D - Prototype Fund I LP filed a document with the SEC on March 12, 2026, citing Section 3(c)(1) of the Investment Company Act.
Griffin Capital Development Partners Fund III Files SEC Form for Investment Company Act
Griffin Capital Development Partners Fund III, L.P. filed a SEC form on March 12, 2026, citing Section 3(c)(5) of the Investment Company Act, according to SEC EDGAR records.
Griffin Capital Files SEC Document on Investment Company Act Section 3(c)(5)
On March 12, 2026, Griffin Capital submitted a filing related to Section 3(c) and Section 3(c)(5) of the Investment Company Act, as reported in SEC EDGAR records.
Prototype Fund I LP Files Under Investment Company Act Section 3(c)(1)
D - Prototype Fund I LP submitted a SEC filing on March 12, 2026, related to Item 3C and Section 3(c)(1) of the Investment Company Act.
Seminal Food & Nutrition Fund Files Under Section 3(c)(1)
D/A - Seminal Food & Nutrition Fund, L.P. filed a SEC document on March 12, 2026, related to Section 3(c)(1) of the Investment Company Act.
K5 Tech Fund II, LP - Series 203 Files Under Section 3(c)(7)
On March 12, 2026, K5 Tech Fund II, LP - Series 203 filed a document with the SEC under Item 3C for Section 3(c)(7) of the Investment Company Act.
Privateer Verdant Ventures Files SEC Notice Under Section 3(c)(1)
D - Privateer Verdant Ventures FEB2026, a series of CGF2021 LLC, filed a SEC document on March 12, 2026, related to Section 3(c)(1) of the Investment Company Act.
Rothschild Technology Partners Files SEC Document on Investment Company Act
Rothschild Technology Partners, L.P. submitted a filing to SEC EDGAR on March 12, 2026, citing Section 3(c)(1) of the Investment Company Act.
Apollo Seeks Daily Pricing for Private Credit Funds
Apollo Global Management plans to report NAVs monthly and eventually daily for its private credit funds to boost transparency amid investor concerns.
Blackstone Feeder Fund Files SEC Document on Investment Act Section
Blackstone Capital Opportunities Feeder Fund V-R (CYM) LP filed a SEC document on March 11, 2026, related to Section 3(c)(7) of the Investment Company Act.
Blackstone Feeder Fund Files for Section 3(c)(7) Exemption
Blackstone Capital Opportunities Feeder Fund V-R (CYM) LP filed a SEC document on March 11, 2026, referencing Investment Company Act Section 3(c)(7).
Lightspring Capital II, LP Files for Investment Company Act Exemptions
Lightspring Capital II, LP submitted a SEC filing on March 11, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Lightspring Capital II, LP Files SEC Exemption Notice
Lightspring Capital II, LP submitted a filing to the SEC on March 11, 2026, for exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Perini Capital Phoenix Fund Files for Section 3(c)(1) Exemption
Perini Capital Phoenix Fund, LLC submitted a SEC filing on March 11, 2026, claiming exemption under Section 3(c)(1) of the Investment Company Act.
Perini Capital Phoenix Fund LLC Files Under Section 3(c)(1)
Perini Capital Phoenix Fund LLC filed a SEC document on March 11, 2026, under Section 3(c)(1) of the Investment Company Act.
Reciprocal Ventures Files for Section 3(c)(1) Exemption
D - Reciprocal Ventures, a Series of Decile Start Fund, LP, filed a SEC document on March 11, 2026, related to Investment Company Act Section 3(c)(1).
Reciprocal Ventures Files Under Investment Company Act Section 3(c)(1)
Reciprocal Ventures, a Series of Decile Start Fund, LP, filed a SEC EDGAR document on March 11, 2026, related to Section 3(c)(1) of the Investment Company Act.
Still Point Partners Fund I Files for SEC Exemptions
Still Point Partners Fund I, LP filed for exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act on March 11, 2026, according to SEC EDGAR.
