Category Archives: Newsletter
SEC Regulatory Agenda Highlights Key Developments for Private Fund Advisers
On July 7, the SEC released its latest Regulatory Flexibility Agenda, providing an early look at SEC Chair Paul Atkins’ [...]
SEC Provides New Guidance to Activist Funds Regarding 13D Filings
By: Emily Caton On July 9, 2026, the SEC’s Division of Corporation Finance issued new Corporation [...]
24-Hour Equity Markets and Potential Compliance and Operational Challenges
On July 23, the SEC announced that it will host a public roundtable on September 17, 2026, to discuss preparations [...]
Death Knell Finally Tolls for the Corporate Transparency Act
On August 11, 2026, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) [...]
From Sample Testing to Simulated Populations: The Next Shift in GRC
By: Jason Patel, Chief Technology & AI Officer For decades, one of the fundamental constraints in [...]
The Salus GRC Brief | July 2026
Artificial intelligence is rapidly reshaping the regulatory and operational landscape for investment advisers. This month, we’ve seen [...]
Operational Due Diligence: Building ODD-Ready Organizations for Investment Managers and Service Providers
Operational due diligence (“ODD”) has undergone a significant transformation over the past decade. Once viewed [...]
The Death of the DOL’s 2024 Retirement Security Rule: What It Means for Investment Advisers Providing Rollover Advice
By: Ariana Monchick, Managing Director Since the Department of Labor’s (DOL) 2024 Retirement Security Rule (known as the [...]
AI Practices Now in the Crosshairs of SEC Exams
By: E.J. Yerzak, Managing Director The AI exams have begun. We knew when the SEC [...]
Frontier AI Intervention: When Model Access Becomes a Governance Issue
By: Jason Patel, Chief Technology & AI Officer Conversation around artificial intelligence is changing quickly. For the past [...]