- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Critics of proxy advisory firms are cheering the withdrawal of 2004 no-action letters that they say empowered and entrenched the firms.
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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.
Crypto-friendly Silvergate Bank will pay a total of $63 million penalties to California and the Federal Reserve Board to settle charges that its anti-money laundering program failed to properly monitor more than $1 trillion worth of customer transactions.
The Supreme Court of the United States ruled that the Securities and Exchange Commission’s practice of using in-house tribunals overseen by an administrative judge to adjudicate securities fraud cases is unconstitutional.
