Category Archives: Blog
SEC Compliance Outreach Offers Guidance for Smaller Firms
By: E.J Yerzak If you missed the SEC’s January Compliance Outreach on Regulation S-P, now is the [...]
Valuation of Private Credit: Madison Funding Enforcement
On February 25, the SEC fined Madison Funding, a Chicago-based private fund manager, $900,000 for violations related to the valuation of [...]
Securities Attorney Calls on Congress to Strengthen SRO Oversight
By: Jacqueline Hallihan Washington, D.C. | March 5, 2026 A. Valerie Mirko, a partner at [...]
OpenClaw AI and Autonomous Risk
By: Jay Patel OpenClaw is the latest viral AI tool and there’s a good chance your firm’s employees are already experimenting [...]
SEC and CFTC Collaboration
The SEC and the Commodity Futures Trading Commission announced on March 11 that they have entered into a [...]
The Salus GRC Brief | February 2026
February’s regulatory landscape reflects a clear theme: modernization without deregulation. The SEC continues to signal [...]
New SEC Marketing Rule FAQs: What Advisers Need to Know
SEC Staff Issues Guidance on Model Fees and SRO Disqualifications Under Rule 206(4)-1 On January [...]
California Reporting for Venture Capital Firms
Private fund managers and their underlying funds that invest in the venture capital space may be [...]
Custody Unlocked: Key Takeaways from Salus GRC January Webinar
On January 27, Salus GRC hosted Custody Unlocked, a webinar bringing together two nationally recognized custody [...]
SEC Clarifies Tokenized Securities
By: Gena Dirani On January 28, 2026, staff from the SEC’s Divisions of Corporation Finance, [...]