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  1. Services
  2. Institutional Investors

Insights on Institutional Investors

14 total results. Page 1 of 1.

Alerts
EO Seeks to Expand Access to Alternative Asset Investments in Retirement Plans
August 18, 2025
Jon K. Jurva, Mamta K. Shah, Emily B. Lewis, Catrina Livermore

On August 7, the White House issued an Executive Order (EO) aimed at broadening Americans’ access to alternative asset investments within employer-sponsored defined-contribution retirement plans, such as 401(k) plans.

Alerts
Treasury Postpones Effective Date of Investment Adviser AML Rule
August 1, 2025
Jon K. Jurva, Brittany H. Sokoloff, William P. Ziegelmueller, Catrina Livermore

On July 21, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced a two-year postponement of the Anti-Money Laundering (AML)/Countering the Financing of Terrorism (CFT) Program and Suspicious Activity Report filing requirements for registered investment advisers (IAs) and exempt reporting advisers.

Alerts
SEC No Action Letter Guidance Streamlines Rule 506(c) Accredited Investor Verification
March 19, 2025
Jon K. Jurva, Ralph V. De Martino, Catrina Livermore, Cavas S. Pavri

On March 12, the US Securities and Exchange Commission (SEC), via a No Action Letter, issued interpretive guidance clarifying what constitutes “reasonable steps” issuers can take to verify purchasers’ accredited investor status, as required under Rule 506(c) of Regulation D under the Securities Act of 1933, as amended (Securities Act) (Rule 506(c)).

Alerts
SEC Cracks Down on Unregistered Broker-Dealers
February 27, 2025
Jon K. Jurva, Nana Darkwa, Emily B. Lewis, Maria Ortega Castro, Jai Williams

StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission (SEC) following SEC enforcement actions against them.

Alerts
Let It Be…Taxed? The Carried Interest Debate Continues
February 12, 2025
Jeffrey B. Tate , Jon K. Jurva, Samantha Overly Patel, William R. Mitchell

On February 6, Congressional Republican leaders met with President Donald Trump to address the Trump Administration’s 2025 budget and tax priorities. During that meeting, the Trump Administration proposed to eliminate capital gains tax treatment on carried interest.

Alerts
SEC Charges Navy Capital in AML Failures: Say What You Do and Do What You Say
January 28, 2025
Jon K. Jurva, Emily B. Lewis, Nana Darkwa, Marina Phillips

The US Securities and Exchange Commission (SEC) released a press release on January 15 announcing that it had charged Navy Capital Green Management, LLC, an investment adviser, with violations of the Investment Advisers Act of 1940 related to its Anti-Money Laundering (AML) policies and procedures.

Alerts
SEC Priorities for 2025: What Investment Advisers Should Know
January 13, 2025
Jon K. Jurva, Maria Ortega Castro

The US Securities and Exchange Commission (SEC) recently released its priorities for 2025. As in recent years, the SEC is focusing on fiduciary duties and the development of compliance programs as well as emerging risk areas such as cybersecurity and artificial intelligence (AI). This alert details the key areas of focus for investment advisers.

Events
Conflicts of Interest – Ethics
April 28, 2023
Tyler E. Margolis

Mark Zaander will speak on a panel that Tyler Margolis will moderate at the ACIC Spring Investment Forum on April 28, 2023.

Alerts
SEC Proposes Safeguarding Rule Amending Custody Rule
March 23, 2023
Matthew W. Kulju, Jon K. Jurva

The US Securities and Exchange Commission (SEC) released a proposal to amend Rule 206(4)-2, the “custody rule” (the “current rule”), which currently requires all investment advisors with the ability to possess client funds and securities to hold funds in a designated bank account.

Alerts
2023 Priorities for SEC Division of Examinations
February 15, 2023
Matthew W. Kulju, Jon K. Jurva

The US Securities and Exchange Commission (SEC) Division of Examinations recently released its 2023 Examinations Priorities, a yearly report that provides insight into the Division’s areas of focus to improve compliance, prevent fraud, monitor risk, and inform policy.

Alerts
SEC Adopts New Marketing Rule for Investment Advisors
November 7, 2022
Jon K. Jurva

On December 22, 2020, the US Securities and Exchange Commission (SEC) adapted the rules that govern investment advisor advertisements and payments to solicitors. The amendments consolidated the previous advertising and cash solicitation rules into one rule, called the Marketing Rule.

Alerts
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisors
November 4, 2022
Jon K. Jurva

On October 26, 2022, the US Securities and Exchange Commission (SEC) proposed a new rule and rule amendments under the Investment Advisors Act that, if passed, would prohibit registered investment advisors from outsourcing certain services without conducting their own due diligence.

Alerts
Scrapped Paper: SEC Adopts New Electronic Filing Requirements for Investment Advisers
July 6, 2022
Jon K. Jurva

The U.S. Securities and Exchange Commission (SEC) announced last week that it will now require electronic submissions via its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system for certain applications.

Alerts
New Pass-Through Deduction Presents Tax Planning Opportunities for Pass-Through Owners
January 22, 2018
Robert R. Pluth

The Tax Cuts and Jobs Act (the “Act”) will dramatically change the tax treatment of income from many partnerships, limited liability companies, and S corporations.

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