Failure to Protect Confidential Customer Information Leads to $650,000 Fine

The Securities and Exchange Commission recently issued a cease and desist order and fine against Forcerank, LLC for its violation of Dodd-Frank restrictions surrounding security-based swaps. Forcerank developed software which... [...]

Recently we wrote a blog regarding the SEC Amendments to Form ADV. In the blog, we touched on the ADV changes regarding Separately Managed Accounts, Private Fund Adviser Entities, and... [...]