Jan 23
Salus GRC’s flexible ongoing programs provide unparalleled support for managing your compliance function. By partnering with us, you gain access to a team of compliance experts who are dedicated to ensuring your organization meets regulatory requirements with precision and efficiency. This level of support empowers you to focus on strategic initiatives and core business activities, knowing that your compliance needs are in expert hands. With Salus GRC as your partner, you can navigate the complex regulatory waters with confidence, secure in the knowledge that you have a team of experts working tirelessly to protect your organization’s interests.
Ongoing Compliance Services
Salus GRC offers flexible ongoing programs to support or manage your compliance function. Services include:
- Updates to Compliance Manual, Code of Ethics and other internal policies and procedures
- Regulatory filings, including Form ADV, Form 13F, Form PF, Form CRS
- Annual Compliance Review under Rules 206(4)-7, 38a-1 and 3120
- NFA Annual Self-Assessment
- Marketing material review
- Tailored employee compliance training
- On-demand consulting
- Electronic communication and social media reviews
- Vendor due diligence
- Code of Ethics review and platform administration
- Managed registered staff filings, such as Form U-4, Form U-5 and ADV Part 2B
- Outsourced CCO services
Consulting Projects
We are also available for customized consulting projects, such as:
- SEC, FINRA and NFA registrations
- Mock regulatory examinations
- Targeted reviews of high-risk areas, such as fees and expenses, AML procedures or marketing
- Due diligence reviews of service providers, business combination partners or others
- Gap assessments to identify existing risks and areas for enhancement
- Regulatory examination support and response
- Outsourced CCO services
Our Expertise Spans the Financial Industry
From private funds to broker dealers Salus GRC partners with a diverse range of financial institutions, offering tailored regulatory compliance solutions to address their unique challenges and regulatory requirements. Working with clients across private equity, hedge funds, institutional advisors, investment companies, wealth managers, crypto and blockchain managers, broker dealers and more, our team of experts ensure that your regulatory requirements are taken care of and you can focus on your business.
Beacon features workflow management tools such as a customized calendar, detailed activity monitoring, exception tracking and risk assignment.
The Beacon dashboard provides at-a-glance statistics of active and upcoming tasks, supported by robust and real-time reporting.
This empowers you and your GRC team to collaborate and always have a view on the status of your compliance program and activities.
Regulatory Compliance Resources
Our team of professionals is consistently researching and expanding their knowledge to share insights and best practices with the industry.
Upcoming Events
Stay ahead of the curve with Salus GRC's thought leaders! Explore our upcoming webinars, live events, and panels featuring industry experts. Access past event recordings and on-demand webinar content at your convenience. Gain valuable insights and stay informed about the latest trends and best practices in governance, risk, and compliance.
Jun 27 - Dec 31
Aug 7 - Dec 31
WebinarOn DemandOngoing Virtual Event
Understanding the New Reg. S-P Requirements: Incident Response and Vendor Oversight Requirements for Wealth Managers
Sep 24 - Dec 31
WebinarOn DemandOngoing Virtual Event
Navigating Due Diligence: A Comprehensive Approach Across Compliance, Operations, and Cybersecurity
Oct 22 - Dec 31
WebinarOn DemandOngoing Virtual Event
Keeping in Step with E-Comm Monitoring and Archiving Oversight
Nov 12 - Nov 30
Dec 4
WebinarOn DemandOngoing Virtual Event