Blog - Salus GRC

The Salus GRC Brief | July 2026

Artificial intelligence is rapidly reshaping the regulatory and operational landscape for investment advisers. This month, we’ve seen [...]

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Operational Due Diligence: Building ODD-Ready Organizations for Investment Managers and Service Providers

Operational due diligence (“ODD”) has undergone a significant transformation over the past decade. Once viewed [...]

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The Death of the DOL’s 2024 Retirement Security Rule: What It Means for Investment Advisers Providing Rollover Advice

By: Ariana Monchick, Managing Director Since the Department of Labor’s (DOL) 2024 Retirement Security Rule (known as the [...]

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AI Practices Now in the Crosshairs of SEC Exams

By: E.J. Yerzak, Managing Director The AI exams have begun. We knew when the SEC [...]

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Frontier AI Intervention: When Model Access Becomes a Governance Issue

By: Jason Patel, Chief Technology & AI Officer Conversation around artificial intelligence is changing quickly. For the past [...]

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The Salus GRC Brief | June 2026

June reflects a regulatory environment increasingly focused on transparency, accountability, and practical compliance oversight. The [...]

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SEC Charges 21 in Alleged Insider Trading Ring Tied to Law Firms

On May 6, 2026, the SEC charged 21 individuals for their alleged involvement in a [...]

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Are CCOs Personally Accountable for a Cyber Incident or AI Failures?

By E.J. Yerzak Chief Compliance Officers have never faced a broader mandate. As registered investment advisers (RIAs) [...]

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Market Manipulation and Activist Research: What Andrew Left’s Conviction Means for Compliance

On June 1, 2026, a federal jury in the Central District of California found Andrew [...]

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AI in Employment for RIAs: What Connecticut’s New Law Signals for Compliance Risk

By Armando DeChalus Artificial intelligence (AI) continues to be a central focus for investment advisers, with [...]

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