- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC is working now to draw up new rules for audit committee and executive compensation disclosure. Why? To make corporations more transparent with investors about what they already know. The thing is, Compliance Week columnists Stephen Davis and Jon Lukomnik write, companies can start that better communication themselves. This ...
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Image: As businesses become more risk-prone and globalized, investors are demanding that fresh blood be infused into boards. So too are legislators with a desire to leverage SEC disclosures as a tool to bolster the ranks of directors and embed cyber-security knowledge. These efforts place a focus on board composition, ...
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.
