- 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.
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.
