- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Lori Tripoli2019-11-22T15:53:00
A new survey from the U.S. Chamber of Commerce and Nasdaq says the number of companies identifying conflicts of interest at proxy advisory firms has almost doubled.
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2019-11-13T21:10:00Z By Lori Tripoli
In a lawsuit filed against the SEC, advisory firm ISS argues that, contrary to SEC opinion, proxy advice is not a solicitation under securities laws.
2025-05-22T15:46:00Z By Adrianne Appel
The Securities and Exchange Commission has charged cryptocurrency company Unicoin, three top executives, and its general counsel with defrauding investors of $110 million by selling them bogus “rights certificates” in a future cryptocurrency coin.
2025-05-22T14:37:00Z By Aaron Nicodemus
The Federal Trade Commission has ordered web hosting company GoDaddy to implement a “robust” information security program following at least three data breaches that the agency said were aided by lax cybersecurity measures.
2025-04-30T14:20:00Z By Ian Sherr
The compliance world is filled with numbers, rules and regulations. But the soft skills of management and relationships are critical too, and they can make the difference between making it to higher level leadership or not.
2025-04-30T14:00:00Z By Ian Sherr
As companies increasingly test artificial intelligence throughout their workforce and product lines, early adopters say an important rule is to pick the right AI for the job.
2025-04-30T00:37:00Z By Adrianne Appel
Some compliance teams consider it outside their roles to learn the ins and outs of their businesses, and something to explore when they have time.
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