Salus GRC

Navigating SEC Trends and Focus Areas Are you prepared for your firm’s next SEC exam? Join us for an insightful session where our panel of experienced industry professionals will break down the latest SEC trends and exam focus areas to help your firm stay ahead. Topics include: Updates in document requests Current exam priorities and hot topics Interpreting deficiency letters Key takeaways from recent enforcement actions Our Speakers: Peter Wilson, Chief Operating Officer, Salus GRC Anne Choe, Partner, Willkie Farr & Gallagher LLP Michael V. Merrigan, Founder, Shadmoor Advisors, Inc. Tuesday, November 12, 2024 1:00 PM EST Can’t attend live? No problem! All registrants will receive a recording of the event. Register today to secure your spot! https://lnkd.in/eJCwn-Kf Don’t miss this opportunity to gain valuable insights and practical guidance! #Navigator #Webinar #SECCompliance #RegulatoryTrends #InvestmentAdvisers #SalusGRC #FinancialServices

Navigating SEC Trends and Focus Areas Are you prepared for your firm’s next SEC exam? Join us for an insightful session where our panel of experienced industry professionals will break down the latest SEC trends and exam focus areas to help your firm stay ahead. Topics include: Updates in document requests Current exam priorities and hot topics Interpreting deficiency letters Key takeaways from recent enforcement actions Our Speakers: Peter Wilson, Chief Operating Officer, Salus GRC Anne Choe, Partner, Willkie Farr & Gallagher LLP Michael V. Merrigan, Founder, Shadmoor Advisors, Inc. Tuesday, November 12, 2024 1:00 PM EST Can’t attend live? No problem! All registrants will receive a recording of the event. Register today to secure your spot! https://lnkd.in/eJCwn-Kf Don’t miss this opportunity to gain valuable insights and practical guidance! #Navigator #Webinar #SECCompliance #RegulatoryTrends #InvestmentAdvisers #SalusGRC #FinancialServices

We’re excited to be at IT Nation Connect 2024! Join us November 6-8 in Orlando, FL, where we'll be exploring how to revolutionize MSP businesses through the power of community. Meet our Managing Director, Jacob Cane, CISSP, to discuss how Salus GRC can support your firm in building resilient cybersecurity strategies that keep your business protected. If you’re attending, let’s connect and collaborate! #ITNationConnect #SalusGRC #MSP #Cybersecurity #Networking

Halloween isn’t the only time things can get frightful! In the world of compliance and cybersecurity, lurking risks and unexpected scares can pop up at any moment. But don’t let regulatory ghosts or cyber ghouls haunt your operations! At Salus GRC, we’re here to turn your compliance and cybersecurity nightmares into peace of mind. Our team of industry experts works tirelessly to ensure that your firm stays ahead of lurking dangers, whether it's compliance monsters under the bed or cybersecurity tricks that treat your data poorly. This October, let’s turn the real-world frights into treats by making sure your compliance and security programs are stronger than ever. Because at Salus GRC, we don’t just face the skeletons in the closet—we help you lock them out. 🦇 Stay safe, stay compliant, and have a frightfully secure Halloween! 🕸️ #Halloween #CyberSecurityAwareness #Compliance #RiskManagement #SalusGRC

Another full house at today’s session led by Allison Fraser at the NSCP National Conference! Allison, along with co-panelists Kevin Gleason and JIll Varner, dived into best practices for managing third-party service providers—a growing area of focus for the SEC. The session covered everything from due diligence and risk management to effective oversight practices for critical service providers. Attendees left with actionable insights to strengthen their oversight and align with SEC expectations. Thanks to everyone who joined the discussion! #NSCP2024 #Compliance #RiskManagement #ThirdPartyOversight #SalusGRC

As we wrap up another Cybersecurity Awareness Month, artificial intelligence risks remain on the radar of many regulators including the SEC and the New York State Department of Financial Services (NYDFS). This month, the NYDFS issued an industry letter providing guidance for addressing the cybersecurity risks involved with AI.   The NYDFS regulates banks, insurance companies, and certain other financial institutions subject to its jurisdiction. Although SEC registered investment advisers are not subject to the NYDFS Cybersecurity Rule (23 NYCRR Part 500), the industry letter provides a helpful framework for all financial firms to consider. The NYDFS guidance mentions 4 key risk areas for use of AI: (1) AI-Enabled Social Engineering, (2) AI-Enhanced Cybersecurity Attacks, (3) Exposure or Theft of Vast Amounts of Nonpublic Information, and (4) Increased Vulnerabilities Due to Third-Party, Vendor, and Other Supply Chain Dependencies.   We are seeing an increase in the number of investment advisers dipping their toes in the AI waters for certain use cases to achieve efficiencies in their processes. These efficiencies can also introduce additional risks into your business if not governed properly through risk management controls. Hackers are now using AI to enhance their cyberattacks too.   If you’re currently using or considering the use of AI as part of your investment screening, research, marketing, compliance, or operations, Salus GRC can help you craft a risk-based policy appropriate for your organization. And if you’re concerned about staying ahead of threat actors, our phishing testing and cybersecurity training can help you identify warning signs.   #cybersecurity #ai #artificialintelligence #nydfs #cybersecurityawarenessmonth

Packed room this morning for Ariana Monchick’s session at the NSCP National Conference! Ariana, along with co-panelists Rosa Licea-Mailloux and Charles V. Senatore, led a fascinating discussion on the evolving role of AI in compliance. With AI transforming everything from data analytics to supervision, compliance officers face both new opportunities and risks. Ariana shared actionable insights on how firms can leverage AI responsibly, enhancing efficiency while managing third-party and regulatory risks. Thank you to everyone who joined the conversation! #NSCP2024 #Compliance #AI #RiskManagement #SalusGRC #ThoughtLeadership #Events #Networking

The SEC recently charged four tech firms with misleading disclosures related to cybersecurity incidents, underscoring the importance of transparency in cyber risk management. As regulatory expectations increase, especially with upcoming Reg. S-P requirements, it's critical for all firms—not just public companies—to take note. Read more about the SEC’s findings and what this means for your firm on our website: https://lnkd.in/ep3xfjqC #Cybersecurity #Compliance #SECRules #SalusInsights #RiskManagement #RegulatoryRequirements #RegSP

Exciting day at EMex Americas! Our very own Christopher Lombardy shared valuable insights during his session on being a successful emerging manager in 2025, sparking engaging discussions. Meanwhile, the team are connecting with industry leaders at our booth, highlighting how Salus GRC is helping firms navigate regulatory challenges and thrive. It’s been a fantastic experience engaging with top professionals in the field! #EMexAmericas #Compliance #EmergingManagers #SalusGRC