- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
In advance of 2015 annual meetings, Marathon Oil and Cabot Oil are seeking the SEC’s blessing for plans to exclude proxy access proposals submitted on behalf of New York City’s pension funds. They cite a recent decision to grant no-action relief to Whole Foods, where the grocery chain sought to ...
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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.
