Cipperman Compliance News Today

Foreside Financial, based in Portland, acquired a Pennsylvania firm that specializes in chief compliance officer services for the financial industry.

Archegos implosion could lead to family-office regulation Assessing the murky family-office world presents challenges, such as sorting out the different types. The SEC had targeted family office oversight for review this year even before the Archegos blowup. April 8, 2021 3 MINS When Archegos Capital Management recently stepped on a derivatives landmine, it may have set off an explosion that will have repercussions for advisory firms that manage wealthy families’ finance...