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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.
- 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 RegulatorsBy: 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 AdvisersBy: 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 AdvisersBy: 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 ResilienceBy: 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 StartAI 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 […] - Recent SEC Remarks
By: Jackie Hallihan The SEC closed September with two major announcements that signal a more modern, collaborative approach to oversight. Both underscore a simple truth: regulators are prioritizing modernization and […] - Compliance Update: Private Fund Legislation Moves ForwardBy: Gena Dirani In July 2025, the House Financial Services Committee advanced three bipartisan bills designed to ease compliance obligations for private-fund advisers and expand the scope of venture-capital exemptions. […]
- Digital Asset Regulation: A Reset in ToneBy: Gena Dirani U.S. digital-asset regulation is undergoing a meaningful reset. After years of “regulation by enforcement,” the SEC and DOJ are signaling a pivot toward clearer rules, early engagement, […]
- AI Notetakers: Compliance and Cybersecurity Risks
By: E.J. Yerzak and Adam DiPaoloArtificial intelligence is reshaping how investment advisers operate — from automating research and portfolio modeling to simplifying meeting management. Among these tools, AI notetakers have […] - Regulatory Changes Every RIA Should Know in 2025
If you’re a Registered Investment Advisor (RIA), staying on top of regulatory changes is not just a best practice — it’s a critical part of protecting your firm and maintaining […] - What Is Asset Liability Management (ALM) and Why Should Wealth Management Firms Care?
For wealth management firms, balancing growth, risk, and client trust is a daily challenge. But one critical concept often overlooked outside of banking circles is Asset Liability Management (ALM). While […] - What Are GRC Services? A Complete Guide for Wealth Management Firms
In today’s complex financial environment, compliance, risk management, and strong governance aren’t just regulatory requirements — they’re critical to building trust with clients and protecting your business. This is where […] - ALM Readiness Checklist for Wealth Management Firms
Is your firm financially resilient and prepared to handle market volatility and client demands? Use this checklist to assess your current Asset Liability Management (ALM) readiness. Liquidity Management Interest Rate […] - Top 10 GRC Metrics and KPIs Every Compliance Leader Should Track
In today’s complex regulatory environment, governance, risk, and compliance (GRC) leaders are under more pressure than ever to demonstrate the effectiveness of their programs. Yet many firms still struggle with […]