Foreside Financial buys Pa.-based financial compliance business
Foreside Financial, based in Portland, acquired a Pennsylvania firm that specializes in chief compliance officer services for the financial industry.
Source: mainebiz.biz
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Archegos implosion could lead to family-office regulation
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’ finances. In late March, Archegos defaulted on margin calls involving swaps transactions that forced the sa...
Source: investmentnews.com