Many Activist Investors Keep Coming Back for More

By Karen Kroll2013-12-17T00:00:00

lock icon THIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.

Become a Member

News and analysis for the well-informed compliance or audit exec. Select an option and click continue.

Annual Membership $499 Value offer

Full price one year membership with auto-renewal.

Membership $599

One-year only, no auto-renewal.

Access CW Newsletters and CPE webcasts. REGISTER FOR LIMITED FREE ACCESS

Already a Compliance Week member?

Article
Companies Still Winning Most Appeals to Exclude Shareholder Proposals

2014-02-25T00:00:00Z By Joe Mont
News Brief
SEC penalizes Rimar CEO, holding company board member $524K total for ‘AI washing’

2024-10-11T13:44:00Z By Jeff Dale

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.
News Brief
Banks avoid penalties in OCC deals, agree to shore up AML/BSA, board oversight

2024-08-23T18:09:00Z By Aaron Nicodemus

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.