Category Archives: Blog
SEC Provides New Guidance to Activist Funds Regarding 13D Filings
By: Emily Caton On July 9, 2026, the SEC’s Division of Corporation Finance issued new Corporation [...]
24-Hour Equity Markets and Potential Compliance and Operational Challenges
On July 23, the SEC announced that it will host a public roundtable on September 17, 2026, to discuss preparations [...]
Death Knell Finally Tolls for the Corporate Transparency Act
On August 11, 2026, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) [...]
From Sample Testing to Simulated Populations: The Next Shift in GRC
By: Jason Patel, Chief Technology & AI Officer For decades, one of the fundamental constraints in [...]
The Salus GRC Brief | July 2026
Artificial intelligence is rapidly reshaping the regulatory and operational landscape for investment advisers. This month, we’ve seen [...]
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 [...]
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 [...]
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 [...]
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 [...]
The Salus GRC Brief | June 2026
June reflects a regulatory environment increasingly focused on transparency, accountability, and practical compliance oversight. The [...]