Category Archives: Insights
Are CCOs Personally Accountable for a Cyber Incident or AI Failures?
By E.J. Yerzak Chief Compliance Officers have never faced a broader mandate. As registered investment advisers (RIAs) [...]
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 [...]
Building a Modern Vendor Due Diligence Program: April 7 Webinar Recap
In today’s regulatory and operational environment, third-party risk management has evolved from a best practice [...]
SEC Enforcement Results: Key Takeaways from Fiscal Year 2025
On April 7, the SEC announced its enforcement results for the fiscal year ended September [...]
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 [...]
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 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 [...]
U.S. Court of Appeals Vacates Private Fund Rule – June 05, 2024
On June 5, 2024, the United States Court of Appeals for the Fifth Circuit vacated [...]
SEC Fines Private Fund Manager $1 Million for Conflicts Disclosure and Redemption Failures – May 21, 2024
On May 14, 2024, the SEC fined a New York-based private fund manager and its [...]
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