NEW YORK, Aug. 19, 2026 (GLOBE NEWSWIRE) — Salus GRC, a governance, risk, and compliance firm serving investment managers, RIAs, and other regulated financial services organizations, announced today that four of its senior professionals authored the lead feature in the July 2026 issue of Charles Schwab’s Compliance Review, the compliance publication Schwab distributes directly to independent investment advisors across its Advisor Services custody network.

The article, “Shifting Tides: Actionable Steps to Adapt Compliance Programs to Today’s SEC Priorities,” was written by Jackie Hallihan, Allison Fraser, Ariana Monchick, and Gena Dirani of Salus GRC, earning the issue’s cover story and lead position in the table of contents.

The authors, whose combined background spans 20 to 25 years apiece as chief compliance officers, and compliance attorneys, used the placement to unpack the SEC’s “back to basics” enforcement pivot under Chairman Paul Atkins, including the withdrawal of 14 proposed rules and a sharpened focus on traditional fraud and fiduciary breaches over novel regulatory theories. Citing SEC enforcement data showing insider trading and offering fraud cases climbing from 26% to 33% of actions filed year over year, the piece walks advisors through where custody obligations get triggered without firms realizing it.

The article also examines why Marketing Rule deficiencies around testimonials and third-party ratings are still surfacing in exams years after the rule’s compliance date, and what governance needs to look like as firms move from experimenting with AI tools to deploying them at scale. It closes with a framework for absorbing shifting SEC priorities into an existing compliance program rather than rebuilding one every year.

“We are pleased to collaborate with Schwab on this critical topic to help all advisers navigate new SEC focus and industry trends to stay prepared and ahead of the curve,” said Bill Mulligan, Founder and CEO.

Salus GRC has built its practice around senior-level advisory work rather than junior staffing, growing to more than 450 clients in three years while maintaining 99% client retention. The firm’s placement in Compliance Review extends that track record into one of the industry’s most widely read compliance channels.

The full article is available in the July 2026 issue of Compliance Review, accessible to advisors through the Schwab Advisor Center compliance page.

About Salus GRC

Salus GRC is a governance, risk, and compliance firm serving investment managers, RIAs, private funds, broker-dealers, other regulated financial services organizations, and private equity portfolio companies. The firm provides senior-level advisory services across compliance, cybersecurity, enterprise risk management, and human capital GRC supporting clients in meeting GRC obligations while strengthening governance frameworks and internal controls.

Since its founding, Salus GRC has grown deliberately through a top-down hiring approach that brings together experienced GRC officers, professionals, and other leaders with deep operating experience inside regulated institutions. Among the wide variety of clients that Salus GRC works with, the firm offers practical, tailored solutions for wealth managers, led by senior professionals with extensive experience in the wealth management space.

Salus GRC pairs hands-on advisory leadership with revolutionary technology and strategic partnerships with leading GRC software providers. This approach allows the firm to help clients improve oversight, reduce operational risk, and scale their programs in a disciplined manner as regulatory expectations, risk profiles, and technology demands continue to evolve.

For more information, visit salusgrc.com.


Email: clavarda@salusgrc.com
Phone: 920-904-0250

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