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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Steven Balet2018-02-13T11:15:00
The rising trend toward shareholder activism has incited boards of directors to seek defensive measures, but do shareholders pose that much of a threat?
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2024-10-11T13:44:00Z By Jeff Dale
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.
2024-08-23T18:09:00Z By Aaron Nicodemus
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.
2024-08-07T20:36:00Z By Adrianne Appel
A joint proposal from nine U.S. financial regulators on data standards aim to streamline submissions and ease data sharing among agencies, the Securities and Exchange Commission announced.
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