- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The Securities and Exchange Commission will host a roundtable later this year to hear from investors, issuers, and other market participants about whether its proxy rules should be refined.
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Nearly everyone agrees that the current system of shareholder voting should be improved. How to do that is a contentious debate as an SEC roundtable on the matter draws near.
Critics of proxy advisory firms are cheering the withdrawal of 2004 no-action letters that they say empowered and entrenched the firms.
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.
