Category Archives: Blog
SEC Appoints Keith Cassidy as Director of Division of Examinations
On January 20, the SEC appointed Keith E. Cassidy as Director of its Division of Examinations (EXAMS). Cassidy had served [...]
SEC’s Daly to Investment Industry: Come Talk to Us About AI
On February 3, SEC Division of Investment Management Director Brian Daly delivered a notable speech [...]
The Salus GRC Brief | January 2026
January’s Salus GRC Brief is all about preparation over reaction. This month, we’re digging into [...]
Webinar Summary: What It Takes to Launch a Fund Successfully
Launching a private investment fund is a complex, multi-disciplinary undertaking that extends far beyond portfolio [...]
SEC EXAMS Issues Marketing Rule Risk Alert
On December 16, the SEC’s Division of Examinations (EXAMS) issued a Risk Alert on the Marketing Rule. EXAMS previously published [...]
Enhancing Audit Quality: Key Takeaways from the SEC’s Chief Accountant on PCAOB Oversight
Kurt Hohl, the SEC’s Chief Accountant, shared insights on current SEC and Public Company Accounting Oversight Board [...]
License to Advise Part 2: Investment Adviser Representative Registration Oversight
By: Ariana Monchick In our November newsletter, we highlighted some important considerations and deadlines for Investment [...]
The Reg S-P Two-Minute Warning: Smaller Advisers Have Until June 3, 2026
By E.J. Yerzak Winning the Super Bowl doesn’t happen on game day – it happens months earlier [...]
December 2025 Regulatory & Compliance Brief
The December edition of The Salus GRC Brief is here — bringing together year-end regulatory [...]
SEC Division of Examinations Announces 2026 Priorities
By: Mike Scally On November 17, the SEC’s Division of Examinations (EXAMS) released its 2026 examination priorities. [...]