Category Archives: Newsletter
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 [...]
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 [...]
California Reporting for Venture Capital Firms
Private fund managers and their underlying funds that invest in the venture capital space may be [...]
New SEC Marketing Rule FAQs: What Advisers Need to Know
SEC Staff Issues Guidance on Model Fees and SRO Disqualifications Under Rule 206(4)-1 On January [...]
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 [...]