Regulatory Compliance
335 stories covering regulatory compliance — fund closes, LP allocations, regulatory filings, deal flow, and fundraising signals from PipelineRoad's editorial team.
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.
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.
D/A - DAM (US) Fund LP Files SEC Document on Section 3(c)(7)
D/A - DAM (US) Fund LP filed a document with the SEC on April 9, 2026, related to Section 3(c)(7) of the Investment Company Act.
D/A - DAM (US) Fund LP Files Under Section 3(c)(7)
D/A - DAM (US) Fund LP submitted a SEC filing on April 9, 2026, under Item 3C and Section 3(c)(7) of the Investment Company Act.
Garita Energy Partners Files Section 3(c)(1) Exemption with SEC
Garita Energy Partners, LP filed a document under Section 3(c)(1) of the Investment Company Act on April 9, 2026, as per SEC records.
Global Infrastructure Partners Fund Files SEC Form for Section 3(c)(7)
D - Global Infrastructure Partners Emerging Markets Feeder Fund (Lux) II, L.P. filed a SEC EDGAR form on April 9, 2026, related to Investment Company Act exemptions.
Japan Logistics Development Partners V Feeder (B) LP Files Under Section 3(c)(7)
D - Japan Logistics Development Partners V Feeder (B) LP filed a form with the SEC on April 9, 2026, citing Section 3(c)(7) of the Investment Company Act.
Long Angle Investments LLC Files SEC Document for KKR-KPEC QP 2026 SPV
Long Angle Investments LLC submitted a SEC filing on April 9, 2026, for KKR-KPEC QP 2026 SPV under Section 3(c)(7) of the Investment Company Act.
Equitybee cFund Master LLC Files Under Investment Company Act Section 3(c)(1)
Equitybee 22-32046, a series of Equitybee cFund Master LLC, filed a document with the SEC on April 8, 2026, citing Section 3(c)(1) of the Investment Company Act.
Evolution Ventures Minerva Fund Files SEC Form for Investment Company Act Exemption
Evolution Ventures Minerva Fund, LP filed a SEC document on April 8, 2026, citing Section 3(c)(1) of the Investment Company Act.
Evolution Ventures Minerva Fund Files Section 3(c)(1) Exemption
Evolution Ventures Minerva Fund, LP filed a document under Section 3(c)(1) of the Investment Company Act on April 8, 2026, as per SEC records.
Balbec SC Evergreen Feeder Fund Files SEC Document on Investment Company Act
Balbec SC Evergreen Feeder Fund, L.P. filed a SEC document on April 8, 2026, related to Section 3(c)(7) of the Investment Company Act.
Balbec SC Evergreen Fund Files SEC Form D Amendment for Section 3(c)(7)
Balbec SC Evergreen Fund, L.P. filed a Form D amendment on April 8, 2026, citing Section 3(c)(7) of the Investment Company Act.
Castor Ventures Fund 11, LLC Files Under Investment Company Act Section 3(c)(1)
Castor Ventures Fund 11, LLC filed a document with the SEC on April 8, 2026, specifying reliance on Section 3(c)(1) of the Investment Company Act.
Vital Capital Medical - Temple TX DST Files SEC Document
Vital Capital Medical - Temple TX DST submitted a filing to the SEC on April 8, 2026, as per official records.
ALM First Capital Fund I, LLC Files Under Investment Company Act Section 3(c)(1)
ALM First Capital Fund I, LLC submitted a SEC filing on April 8, 2026, invoking Section 3(c)(1) of the Investment Company Act.
D - Clique Ventures Inc. Files with SEC on April 8, 2026
D - Clique Ventures Inc. submitted a filing to the SEC on April 8, 2026, according to EDGAR records.
FVP Health Innovation Fund Files Under Investment Company Act Section 3(c)(1)
D - FVP Health Innovation Fund, L.P. submitted a filing to the SEC on April 8, 2026, under Item 3C for Section 3(c)(1).
Veridis Legal Opportunity Fund Files for Investment Company Act Exemptions
Veridis Legal Opportunity Fund, LP filed a document with SEC EDGAR on April 8, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7).
Veridis Legal Opportunity Fund LP Files for Investment Company Act Exemptions
Veridis Legal Opportunity Fund LP submitted a SEC filing on April 8, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
American Beacon Institutional Funds Trust Files SEC Document
American Beacon Institutional Funds Trust submitted a filing to the SEC on April 7, 2026, as part of regulatory requirements.
Tourlite Fund, LP Files Under Investment Company Act Section 3(c)(1)
D/A - Tourlite Fund, LP submitted a SEC filing on April 7, 2026, related to Section 3(c)(1) of the Investment Company Act.
Northstar VC Series 36 Files Under Investment Company Act Section 3(c)(1)
Northstar VC Series 36, a series of Northstar Venture Capital LLC, filed a document on April 7, 2026, related to Section 3(c)(1) of the Investment Company Act.
WCM Partners Endurance, LP Files SEC Document on Investment Company Act
WCM Partners Endurance, LP submitted a filing to the SEC on April 7, 2026, related to Section 3(c)(7) of the Investment Company Act.
Onex Direct Lending Cayman Fund LLC Files SEC Document for Section 3(c)(7)
Onex Direct Lending Cayman Fund LLC filed a SEC document on April 7, 2026, under Item 3C.7 related to Section 3(c)(7) of the Investment Company Act.
Tricor Strategic Wealth Fund I, LLC Files SEC Document
Tricor Strategic Wealth Fund I, LLC submitted a filing to the SEC on April 7, 2026, as per EDGAR records.
2E Select Credit Offshore Fund Files Under Section 3(c)(7)
2E Select Credit Offshore Fund, Ltd. submitted a SEC filing on April 7, 2026, citing Section 3(c)(7) of the Investment Company Act.
D - JBF Parallel Fund LP Files SEC Document
D - JBF Parallel Fund LP submitted a filing to the SEC on April 7, 2026, as part of regulatory requirements for fund managers.
FVP National Security Fund II Files SEC Document for Section 3(c)(1) Exemption
FVP National Security Fund II, L.P. filed a document with the SEC on April 7, 2026, under Item 3C for Section 3(c)(1) of the Investment Company Act.
Legacy Stone Capital LLC Files SEC Document for Section 3(c)(5)
Legacy Stone Capital LLC filed a 6 KB document with the SEC on April 7, 2026, related to Item 3C.5 of the Investment Company Act.
CBC Investment Group LLC Files SEC Document on April 6, 2026
CBC Investment Group LLC submitted a filing to the SEC on April 6, 2026, with accession number 0001867468-26-000003.
CBC Investment Group LLC Files with SEC EDGAR
CBC Investment Group LLC submitted a filing to SEC EDGAR on April 6, 2026, as part of regulatory requirements.
Forge Select Fund I-A, LP Files Under Section 3(c)(7)
D - Forge Select Fund I-A, LP submitted a filing to the SEC on April 6, 2026, related to Section 3(c)(7) of the Investment Company Act.
Forge Select Fund I, LP Files for Section 3(c)(7) Exemption
D - Forge Select Fund I, LP filed a document with the SEC on April 6, 2026, invoking Section 3(c)(7) of the Investment Company Act.
Forge Select Fund I, LP Files Under Investment Company Act Section 3(c)(7)
D - Forge Select Fund I, LP submitted a SEC filing on April 6, 2026, referencing Section 3(c)(7) of the Investment Company Act.
SAC VC Capital SPV LLC - Series 9 Submits SEC Filing
SAC VC Capital SPV LLC - Series 9 filed a document with the SEC on April 6, 2026, according to official records.
ZP Utility Insurance Fund LP Files Under Investment Company Act Section 3(c)(7)
ZP Utility Insurance Fund LP filed a document with the SEC on April 6, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Audeo Ventures Fund II LP Files SEC Form for Exemption
Audeo Ventures Fund II LP filed a SEC EDGAR document on April 6, 2026, related to Section 3(c)(1) of the Investment Company Act.
Superstate Native Yield Fund Files Under Section 3(c)(7)
Superstate Native Yield Fund submitted a SEC filing on April 6, 2026, under Section 3(c)(7) of the Investment Company Act.
True Green Capital Fund V-A Files SEC Document for Section 3(c)(7)
True Green Capital Fund V-A, L.P. submitted a SEC filing on April 6, 2026, related to Section 3(c)(7) of the Investment Company Act.
Montage Social Impact Fund Files Under Investment Company Act Section 3(c)(1)
Montage Social Impact Fund, L.P. filed a document on April 6, 2026, related to Section 3(c)(1) exemption, as reported by SEC EDGAR.
True Green Capital Fund V-B L.P. Files Under Section 3(c)(7)
True Green Capital Fund V-B, L.P. filed a document with the SEC on April 6, 2026, under Item 3C for Section 3(c)(7) of the Investment Company Act.
Balaji Rolling Fund QP, LP - D2 Files SEC Form D
Balaji Rolling Fund QP, LP - D2 submitted a Form D filing on April 6, 2026, claiming exemptions under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act.
Balaji Rolling Fund QP, LP Files Form D with SEC
Balaji Rolling Fund QP, LP - D2 submitted a Form D filing to the SEC on April 6, 2026, citing exemptions under the Investment Company Act.
Centuria Strategic Fund LLC JSF Series Files Under Section 3(c)(1)
Centuria Strategic Fund LLC JSF Series filed a notice under the Investment Company Act Section 3(c)(1) on April 6, 2026, as per SEC EDGAR records.
Plaintext Fund LP Files SEC Document for Section 3(c)(1) Exemption
D/A - Plaintext Fund LP submitted a filing to the SEC on April 6, 2026, related to Section 3(c)(1) of the Investment Company Act.
Plaintext Fund LP Files SEC Document Under Section 3(c)(1)
D/A - Plaintext Fund LP submitted a filing to the SEC on April 6, 2026, related to Item 3C and Section 3(c)(1) of the Investment Company Act.
House of Stone Capital Fund One LLC Files SEC Document Under Section 3(c)(1)
House of Stone Capital Fund One LLC filed a SEC document on April 3, 2026, related to Section 3(c)(1) of the Investment Company Act.
Oasis Investments II Offshore Feeder Ltd. Files SEC Document on Investment Company Act
Oasis Investments II Offshore Feeder Ltd. submitted a SEC filing on April 3, 2026, referencing Section 3(c)(7) of the Investment Company Act.
Oasis Japan Strategic Fund Files SEC Document Under Investment Company Act
Oasis Japan Strategic Fund Offshore Feeder Ltd. filed a document on April 3, 2026, related to Section 3(c) and 3(c)(7) of the Investment Company Act, according to SEC EDGAR.
