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 witnessed a significant increase in [...]

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 Advisors, L.P (“OEP”) $4 million [...]

SEC Announces Fiscal Year 2023 Enforcement Results

On November 14, 2023, the SEC announced its enforcement results for Fiscal Year 2023 (ending on September 30, 2023).

Exciting News in Cybersecurity!

Our very own Jacob Cane, CISSP, Head of Cybersecurity Risk Services at Salus GRC, recently took the mic on Beyond [...]

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 remarks at the New York [...]

RIA Compliance Considerations and the Bitcoin Spot ETF

Cryptocurrency may be one of the most significant asset classes to emerge in recent years and is progressively garnering more [...]

Cybersecurity Tips for Operational Due Diligence Practitioners

Cybersecurity considerations are a critical component of operational due diligence reviews, but few operational due diligence (ODD) professionals start out [...]

CFTC Proposes Amendments to CFTC Regulation 4.7

The Commodity Futures Trading Commission (“CFTC”) recently published a rule proposal that would amend CFTC Regulation 4.7.

SEC Sanctions on AIM

On September 22, 2023, the SEC imposed sanctions, including an aggregate fine of $1,645,460, on American Infrastructure Funds, LLC (AIM) [...]

SEC Releases 2024 Exam Priorities

On October 16, 2023, the SEC’s Division of Examinations (“EXAMS”) released its 2024 examination priorities to inform investors and registrants [...]

The 3 Minute Guide to Preparing for the SEC Cybersecurity Rules

In October 2023 the SEC is expected to finalize new cybersecurity risk management rules: 206(4)-9 under the Advisers Act, 38a-2 [...]

SEC’s Proposed Cybersecurity Risk Management Rules: Implications for Private Funds and Investment Advisers

In recognition of the escalating cybersecurity threats faced by financial entities and the potential risks posed to investors and financial [...]

Cybersecurity Tips for Travel

The ability to work from practically anywhere brings great opportunities, but also can increase cybersecurity risk. It doesn’t need to.