- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
As proxy season begins, holding boards accountable is the new black, and issues such as proxy access and dual-class companies are giving critics and activist shareholders new avenues for holding corporate board members’ feet to the fire. More from Stephen Davis and Jon Lukomnik.
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Mutual funds and ETFs face new disclosure requirements and redesigned liquidity risk management programs under a new SEC rule targeting systemic risk. Joe Mont has more.
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.
