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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 | July 2026
Artificial intelligence is rapidly reshaping the regulatory and operational landscape for investment advisers. This month, we’ve seen regulators move beyond broad discussions of AI and begin focusing on how firms govern, monitor, disclose, […] - Operational Due Diligence: Building ODD-Ready Organizations for Investment Managers and Service ProvidersOperational due diligence (“ODD”) has undergone a significant transformation over the past decade. Once viewed primarily as a post-investment “check-the-box” exercise, ODD has become a central component of institutional investor due diligence, vendor oversight, and operational […]
- The Death of the DOL’s 2024 Retirement Security Rule: What It Means for Investment Advisers Providing Rollover AdviceBy: Ariana Monchick, Managing Director Since the Department of Labor’s (DOL) 2024 Retirement Security Rule (known as the 2024 Fiduciary Rule) and related amendments to Prohibited Transaction Exemption (PTE) 2020-02 were formally vacated by a federal district […]
- AI Practices Now in the Crosshairs of SEC ExamsBy: E.J. Yerzak, Managing Director The AI exams have begun. We knew when the SEC released its Examination Priorities list that the regulator would be focusing on the use of artificial intelligence […]
- Frontier AI Intervention: When Model Access Becomes a Governance IssueBy: Jason Patel, Chief Technology & AI Officer Conversation around artificial intelligence is changing quickly. For the past several years, most firms have focused on how to use AI internally: which tools to […]
- The Salus GRC Brief | June 2026June reflects a regulatory environment increasingly focused on transparency, accountability, and practical compliance oversight. The SEC’s latest Risk Alert on economic conflicts of interest reinforces continued scrutiny around disclosures, fee […]
- SEC Charges 21 in Alleged Insider Trading Ring Tied to Law FirmsOn May 6, 2026, the SEC charged 21 individuals for their alleged involvement in a wide-reaching insider trading scheme that generated millions of dollars in illicit profits. According to the […]
- Are CCOs Personally Accountable for a Cyber Incident or AI Failures?By E.J. Yerzak Chief Compliance Officers have never faced a broader mandate. As registered investment advisers (RIAs) complement their enhancements to cybersecurity programs for Regulation S-P and address emerging artificial intelligence risks, compliance teams are increasingly expected […]
- Market Manipulation and Activist Research: What Andrew Left’s Conviction Means for ComplianceOn June 1, 2026, a federal jury in the Central District of California found Andrew Left of Citron Research guilty of one count of securities fraud scheme and twelve counts of securities […]
- AI in Employment for RIAs: What Connecticut’s New Law Signals for Compliance RiskBy Armando DeChalus Artificial intelligence (AI) continues to be a central focus for investment advisers, with much of the discussion centered on vendor oversight, cybersecurity, privacy, and recordkeeping. However, a new wave of […]
- SEC Draft Strategic Plan Signals Regulatory Priorities for 2026–2030On June 2, 2026, the SEC published its Draft Strategic Plan (the “Plan”) for fiscal years 2026 through 2030 and requested public comment by July 2, 2026. This Plan outlines SEC Chair Paul Atkins’ stated objective of returning […]
- SEC Risk Alert Highlights 5 Common Conflict-of-Interest Deficiencies for RIAsBy Joelle Best On June 9, 2026, the SEC Division of Examinations released a Risk Alert related to economic conflicts of interest – its first Alert in 2026 and the second under Chair Atkins. The Alert highlighted five areas with recurring […]
- Prediction Markets, Event Contracts, and Emerging Insider Trading RisksBy Lisa Iantorno Prediction markets are exchange platforms that specialize in offering event contracts. An event contract is a financial derivative tied to the outcome of specific real-world events like economic data releases, elections, or corporate […]
- SEC Proposes Major Rollback of Form PF RequirementsSEC Proposes Major Rollback of Form PF Requirements On April 20, 2026, the SEC and CFTC proposed sweeping changes to Form PF reporting. If adopted, these changes would significantly reduce Form PF private fund reporting requirements. While […]
- The Salus GRC Brief | May 2026May reflects a regulatory environment increasingly focused on balancing operational efficiency, governance, and risk management. The SEC and CFTC’s proposed rollback of significant portions of the Form PF reporting regime […]
- Action Required: FINRA Implementing Identity Verification for IARD Accounts with SSN AccessBy Adam DiPaolo and Joelle Best Action Required: FINRA Implementing Identity Verification for IARD Accounts with SSN Access FINRA is rolling out a new identity verification requirement for FINRA Gateway – the platform through which […]
- Beyond the Model: How Lower Bit Quantization is Quietly Accelerating AI AdoptionBy Jason Patel, Chief Technology & AI Officer Beyond the Model: How Lower Bit Quantization is Quietly Accelerating AI Adoption Large Language Models (LLMs) and agentic systems continue to dominate […]
- The Salus GRC Brief | April 2026April reflects a more defined and evolving regulatory environment. The SEC is signaling a shift in enforcement priorities toward fraud and investor protection, while areas such as vendor due diligence […]
- Artificial Intelligence: A Hot Topic at the Investment Adviser Compliance ConferenceBy: E.J. Yerzak Artificial intelligence (AI) was a central theme at the 2026 Investment Adviser Compliance Conference in Washington, D.C., where multiple sessions explored how firms can responsibly adopt AI while […]
- U.S. Crypto Regulation Enters a Coordinated Phase: SEC, CFTC, and Congress Move Toward Market Structure ClarityBy Gena Dirani Recent developments from the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), and Congress reflect a coordinated shift in U.S. crypto regulation toward a […]