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Insights, Guidance, and Compliance Expertise You Can Trust
At Salus GRC, we believe that knowledge empowers financial professionals to navigate complexity with confidence. Our blog is your go-to resource for practical compliance guidance, regulatory updates, and strategic insights tailored to registered investment advisors (RIAs), broker-dealers, private fund advisers, and wealth managers.
- The Salus GRC Brief | January 2026
January’s Salus GRC Brief is all about preparation over reaction. This month, we’re digging into what regulators are focused on right now — from Marketing Rule enforcement and Reg S-P […] - 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 construction. In Salus GRC’s recent Navigator webinar, Strategies for an Effective Fund Launch, panelists Meir Lax, […] - 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 a Risk Alert in April 2024 to share initial observations related to adviser compliance with the Marketing Rule, including policies and procedures, books and records, Form […] - 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 (PCAOB) developments at the American Institute of Certified Public Accountants 2025 Conference in December. Hohl highlighted […] - 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 Adviser Representative (IAR) continuing education and registration renewals. In our second installment of our Adviser Registration Series, we […] - 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 in the film room, the weight room, and on the practice field. The same holds […] - December 2025 Regulatory & Compliance Brief
The December edition of The Salus GRC Brief is here — bringing together year-end regulatory signals, evolving SEC priorities, and a closer look at how AI and technology are reshaping […] - SEC Division of Examinations Announces 2026 Priorities
By: Mike Scally On November 17, the SEC’s Division of Examinations (EXAMS) released its 2026 examination priorities. The annual priorities outline areas where EXAMS expects to concentrate its resources as it examines SEC-registered […] - The Next Evolution in AI: Agents
By: Salus GRC Technology Team Salus GRC is witnessing a sea change in the use of artificial intelligence (AI) across the financial services industry. Increasingly, firms are moving from an AI experimentation […] - Key Takeaways from the Salus GRC Webinar: Private Fund Valuation in the Hot Seat
By: Chris Lombardy Private fund valuation continues to sit at the center of regulatory, investor, and operational scrutiny. Expert industry panelists from Salus GRC’s November 18 webinar included: The panel shared practical […] - SEC Delays Form SHO Reporting Until 2028
On December 3, the SEC officially delayed the compliance date of Rule 13F-2 and the related Form SHO reporting requirements until January 2028. This rule generally requires monthly reporting of certain […] - SEC Division Head Signals Shift Toward Deregulation, Modernization, and AI
On December 2, Brian Daly, Director of the SEC’s Division of Investment Management, spoke to the American Bar Association’s Federal Regulation of Securities Committee’s Private Funds Subcommittee and Investment Advisers […] - November Regulatory Roundup: DOGE Exits the SEC, NFA Revises Digital Asset Disclosure Rules
DOGE Departs the SEC On October 30, Reuters reported that the U.S. Department of Government Efficiency (DOGE) has completed its review of the Securities and Exchange Commission and will exit […] - NSCP Annual Conference: Key Takeaways from Former Regulators
By: Jackie Hallihan This year’s NSCP National Conference opened with an unfiltered conversation featuring former regulators offering firsthand, behind-the-scenes experience and perspective from inside the regulatory framework, including observations regarding […] - Part 1: Important Registration Renewal and CE Deadlines for Financial Advisers
By: Ariana Monchick From new continuing education requirements for investment adviser representatives (“IARs” as defined in Section 203A-3 of the Investment Advisers Act of 1940) to missed registration renewal payments, […] - Private Credit Under Pressure: What Rising Scrutiny Means for Advisers
By: Matt Calabro The private credit market has entered a new phase of attention. Following several high-profile bankruptcies, including First Brands Group in September 2025, regulators and investors alike are […] - The AWS Outage: A Wake-Up Call for Operational Resilience
By: E.J. Yerzak In mid-October, Amazon Web Services’ US-EAST-1 data center in Ashburn, Virginia, went dark — and the internet felt it. The outage disrupted more than 2,500 organizations, from […] - Embracing AI in Compliance: Start Small, Start Now — But Start
AI isn’t a trend on the horizon. It’s already transforming how firms operate, make decisions, and stay compliant. Yet for many business and compliance leaders, the question remains: where do […] - Compliance Considerations for AI Use and Policies
By: Matt Calabro Artificial intelligence is no longer a future concept—it’s part of daily operations for nearly every firm. From note-taking and data analysis to marketing, coding, and network monitoring, […] - Regulation S-P Reminder
With just two months left before the December 3, 2025 compliance deadline, the SEC has made one thing clear: the updated Regulation S-P is moving forward on schedule. On September […]