Compliance Archives - Page 3 of 4 - Salus GRC

Abstract Purple Design

Part 1: Important Registration Renewal and CE Deadlines for Financial Advisers

By: Ariana Monchick From new continuing education requirements for investment adviser representatives (“IARs” as defined [...]

Abstract Purple Design

Embracing AI in Compliance: Start Small, Start Now — But Start

AI isn’t a trend on the horizon. It’s already transforming how firms operate, make decisions, [...]

Compliance Considerations for AI Use and Policies

Compliance Considerations for AI Use and Policies

By: Matt Calabro Artificial intelligence is no longer a future concept—it’s part of daily operations [...]

Regulation S-P Reminder

Regulation S-P Reminder

With just two months left before the December 3, 2025 compliance deadline, the SEC has [...]

Recent SEC Remarks

Recent SEC Remarks

By: Jackie Hallihan The SEC closed September with two major announcements that signal a more [...]

Abstract Purple Design

Compliance Update: Private Fund Legislation Moves Forward

By: Gena Dirani In July 2025, the House Financial Services Committee advanced three bipartisan bills [...]

Abstract Purple Design

Digital Asset Regulation: A Reset in Tone

By: Gena Dirani U.S. digital-asset regulation is undergoing a meaningful reset. After years of “regulation [...]

Abstract Purple Design

AI Notetakers: Compliance and Cybersecurity Risks

By: E.J. Yerzak and Adam DiPaolo Introduction Artificial intelligence has been a game-changer for financial [...]

SEC Censures Private Fund Manager for Misleading Performance Marketing

On June 14, 2024, the SEC charged a relatively small SEC-registered private fund adviser, Twenty [...]

SEC Fines Private Fund Manager Over $2 Million for Misleading Disclosures Regarding Work With Activist Short Publishers

On June 11, 2024, the SEC announced fines of over $2 million and related charges [...]

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