- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Investors in index funds are taking a page from their activist counterparts and making demands on companies. The surprise: Those companies are listening.
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A new report says the lure of cross-border investors is doing as much to demand corporate best practices as government rule regimes.
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.
