Category Archives: Thought Leadership

Private Markets Fund Managers – Effective SEC Exam Preparation Strategies

Over the past few years, under the leadership of SEC chairman Gary Gensler, we have [...]

Cybersecurity Myths and Misconceptions for Emerging Managers

Common cybersecurity myths and misconceptions, debunked by Salus GRC cyber experts.

SEC fines Private Equity Adviser $4 million for Misuse of MNPI and Policy Failures

On December 26, 2023, the SEC fined New York-based private equity fund adviser OEP Capital [...]

SEC Announces Fiscal Year 2023 Enforcement Results

On November 14, 2023, the SEC announced its enforcement results for Fiscal Year 2023 (ending [...]

Exciting News in Cybersecurity!

Our very own Jacob Cane, CISSP, Head of Cybersecurity Risk Services at Salus GRC, recently [...]

SEC Enforcement Head Highlights “Proactive Compliance” and CCO Liability

On October 24, 2023, Gurbir Grewal, the Director of the SEC’s Division of Enforcement, delivered [...]

RIA Compliance Considerations and the Bitcoin Spot ETF

Cryptocurrency may be one of the most significant asset classes to emerge in recent years [...]

Cybersecurity Tips for Operational Due Diligence Practitioners

Cybersecurity considerations are a critical component of operational due diligence reviews, but few operational due [...]

CFTC Proposes Amendments to CFTC Regulation 4.7

The Commodity Futures Trading Commission (“CFTC”) recently published a rule proposal that would amend CFTC [...]

SEC Sanctions on AIM

On September 22, 2023, the SEC imposed sanctions, including an aggregate fine of $1,645,460, on [...]