Category Archives: Thought Leadership
SEC Issues Risk Alert on Marketing Rule Compliance – April 24, 2024
On April 17, 2024, the SEC’s Division of Examinations (“EXAMS”) issued a Risk Alert which [...]
SEC Fines Private Equity Fund Manager for Technical Violations of the Pay-to-Play Rule – April 19, 2024
On April 15, 2024, perhaps as a warning to investment advisers and their respective employees [...]
The SEC Moves in on the DeFi Space with a Wells Notice for Uniswap – April 17, 2024
On April 10, the CEO of Uniswap Labs, one of the largest decentralized cryptocurrency exchanges, [...]
The Fox in the Henhouse – The Importance of Audit Independence in Assessing Cybersecurity Risk
It is one of the questions we are often asked at Salus GRC, and one [...]
SEC Fines Five RIAs for Marketing Rule Violations – April 15, 2024
On April 12, 2024, the SEC fined five registered investment advisers for advertising hypothetical performance [...]
SEC Expands Insider Trading Scope by Prevailing in “Shadow Trading” Case – April 9, 2024
On April 5, 2024, a jury in federal court in California found a pharmaceutical executive [...]
Private Markets Fund Managers – Effective SEC Exam Preparation Strategies
Over the past few years, under the leadership of SEC chairman Gary Gensler, we have [...]
SEC Fines Hedge Fund Manager $6.5 Million for Electronic Communications Violations – April 4, 2024
On April 3, 2024, the SEC took a notable enforcement action against Senvest Management, LLC, [...]
Cybersecurity Myths and Misconceptions for Emerging Managers
Common cybersecurity myths and misconceptions, debunked by Salus GRC cyber experts.
Private Markets Fund Managers – Effective SEC Exam Preparation Strategies
It is one of the questions we are often asked at Salus GRC, and one [...]