Category Archives: Blog
SEC Proposed Changes to Qualified Client Thresholds
On March 27, the SEC released a Notice of Intent that will ultimately increase the net worth and asset under management thresholds [...]
Artificial Intelligence: A Hot Topic at the Investment Adviser Compliance Conference
By: E.J. Yerzak Artificial intelligence (AI) was a central theme at the 2026 Investment Adviser Compliance [...]
Smart TV Login Features Being Exploited to Bypass MFA
By: E.J. Yerzak If you use a long, complex password – as you should – you’ve probably experienced the [...]
Understanding the EU Artificial Intelligence Act and Its Global Impact
By: Lisa Iantorno In April 2021, the European Commission (“EC”) proposed the first European Union (EU) artificial intelligence law, the [...]
U.S. Crypto Regulation Enters a Coordinated Phase: SEC, CFTC, and Congress Move Toward Market Structure Clarity
By Gena Dirani Recent developments from the Securities and Exchange Commission (SEC), the Commodity Futures [...]
The Salus GRC Brief | March 2026
March has been a busy and defining month across the regulatory landscape. From FINRA’s long-awaited [...]
SEC and CFTC Collaboration
The SEC and the Commodity Futures Trading Commission announced on March 11 that they have entered into a [...]
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 [...]
Securities Attorney Calls on Congress to Strengthen SRO Oversight
By: Jacqueline Hallihan Washington, D.C. | March 5, 2026 A. Valerie Mirko, a partner at [...]
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 [...]