- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Institutional Shareholder Services, a leading proxy advisory service, kicked off its annual global policy formulation process on Tuesday by releasing its 2016 proxy voting policy survey to institutional investors, corporate issuers, and corporate directors. The survey will be operational from Aug. 4 to 5 p.m. (ET) on Sept. 4.
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A U.S. Appeals Court overturned a Securities and Exchange Commission rule that had required companies listed on the Nasdaq stock exchange to disclose whether their boards had women or minority members–and if not, why not.
The Securities and Exchange Commission ordered the owner of Rimar Capital and a board member of its holding company to pay nearly $524,000 in penalties for defrauding investors with false and misleading statements about its use of artificial intelligence.
Among the enforcement actions issued by the Treasury Department’s Office of the Comptroller of the Currency in August, two banks were separately penalized for deficiencies in anti-money laundering and Bank Secrecy Act compliance and board oversight.
