Category Archives: Newsletter
The Salus GRC Brief | June 2026
June reflects a regulatory environment increasingly focused on transparency, accountability, and practical compliance oversight. The [...]
SEC Charges 21 in Alleged Insider Trading Ring Tied to Law Firms
On May 6, 2026, the SEC charged 21 individuals for their alleged involvement in a [...]
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) [...]
Market Manipulation and Activist Research: What Andrew Left’s Conviction Means for Compliance
On June 1, 2026, a federal jury in the Central District of California found Andrew [...]
AI in Employment for RIAs: What Connecticut’s New Law Signals for Compliance Risk
By Armando DeChalus Artificial intelligence (AI) continues to be a central focus for investment advisers, with [...]
SEC Draft Strategic Plan Signals Regulatory Priorities for 2026–2030
On June 2, 2026, the SEC published its Draft Strategic Plan (the “Plan”) for fiscal years 2026 [...]
SEC Risk Alert Highlights 5 Common Conflict-of-Interest Deficiencies for RIAs
By Joelle Best On June 9, 2026, the SEC Division of Examinations released a Risk Alert related to economic [...]
The Salus GRC Brief | May 2026
May reflects a regulatory environment increasingly focused on balancing operational efficiency, governance, and risk management. [...]
Prediction Markets, Event Contracts, and Emerging Insider Trading Risks
By Lisa Iantorno Prediction markets are exchange platforms that specialize in offering event contracts. An event [...]
SEC Proposes Major Rollback of Form PF Requirements
SEC Proposes Major Rollback of Form PF Requirements On April 20, 2026, the SEC and CFTC [...]