IAA Today Archive

SEC Eyes Proxy Advisory Firm Rule Changes, Seeks Comment on Related Guidance

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November 22, 2021

Keywords: Elad Roisman, Gary Gensler, Hester Perice, Proxy

Categories & Topics: Business Ops/HR, Proxy Voting

Biden Climate Financial Roadmap Discusses SEC and DOL ESG Proposals

A new Biden Administration report lays out "a roadmap for measuring, disclosing, managing, and mitigating climate-related financial risk across the economy” and follows an executive order regarding financial risk and climate change policy.

October 20, 2021

Keywords: Climate, DOL, ESG, FSOC, Proxy

Categories & Topics: Bank Regulation/FSOC, Business Ops/HR, Compliance, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

DOL Proposal Would Allow Fiduciaries to Consider ESG When Selecting Plan Investments

Retirement plan fiduciaries will be permitted to consider climate change/ESG factors when selecting plan investments and voting proxies under a new proposal by the Department of Labor.

October 18, 2021

Keywords: DOL, ESG, Proxy

Categories & Topics: Business Ops/HR, Compliance, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting

In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.

October 05, 2021

Keywords: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management

Categories & Topics: Business Ops/HR, ESG, Industry-Level, Proxy Voting, Registered Funds

Gensler Directs SEC Staff to Review Proxy Advisory Firm Interpretation, Rule

SEC Chair Gary Gensler In a highly anticipated move, SEC Chair Gary Gensler has issued a statement directing the SEC staff to consider whether the SEC should revisit the 2019...

June 02, 2021

Keywords: Elad Roisman, Gary Gensler, Hester Peirce, Proxy, SEC Corporation Finance

Categories & Topics: Business Ops/HR, Proxy Voting

IAA Presents List of Critical Adviser Issues, Regulatory Challenges To New SEC Chair as He Formulates His Regulatory Agenda

SEC Chair Gary Gensler Sustainable investing, proxy voting, modernization of the Custody and Pay-to-Play Rules, e-delivery, investor testing of Form CRS, appropriate regulation of smaller advisers, effective coordination with other...

May 19, 2021

Keywords: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing

Categories & Topics: Business Ops/HR, Compliance, Diversity & Inclusion, Fiduciary, Proxy Voting

SEC Reopens Comment Period on Universal Proxy Proposal, Considers Application to Closed-End Funds and BDCs

The SEC has reopened the comment period for a proposal to require universal proxy cards in connection with certain contested director elections. A universal proxy card includes the names of...

April 27, 2021

Keywords: Allison Herren Lee, Investment Company, Proxy, Shareholder Proposals

Categories & Topics: Business Ops/HR, Proxy Voting, Registered Funds

SEC Acting Chair Lee Calls for Public Input on Climate Change Disclosures, Directs Staff to Review 2019 Adviser Proxy Guidance

Adding momentum to the SEC’s intensifying focus on climate change and ESG risks, SEC Acting Chair Allison Herren Lee is inviting public input from investors, registrants, and other market participants...

March 17, 2021

Keywords: Allison Herren Lee, Climate, ESG, Proxy

Categories & Topics: Business Ops/HR, ESG, Industry-Level, Proxy Voting