- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Image: In 1997, just before the music industry was about to be turned upside down by a Black Swan-level of remarkable circumstances, legendary rock artist David Bowie issued bonds on his future royalties, earning a handsome payday for himself, and managing to sidestep a financial cataclysm in the making. Was ...
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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.
