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House Financial Services Committee Kicks Off “ESG Month”

House Financial Services Committee Republicans have dubbed July “ESG Month,” and have scheduled multiple ESG-focused hearings that are expected to culminate in a markup of ESG legislation addressing proxy advisors, asset managers, disclosure requirements, and other issues.

July 14, 2023

Keywords: House Financial Services, Inside the Beltway, Proxy, Proxy Voting

Categories & Topics: Compliance, Congress, ESG, Industry-Level, Proxy Voting

Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist

Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.

January 09, 2023

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Finalizes Say-on-Pay Rules, Proposes New Registered Fund Liquidity Rules

Institutional managers that vote proxies on say-on-pay (executive compensation) votes will be required to file Form N-PX in 2024, including the number of shares loaned but not recalled and, therefore, not voted by the manager. The SEC also proposed significant amendments to the liquidity risk management program rule for registered funds and related reporting and disclosure.

November 03, 2022

Keywords: Form N-PX, Proxy Voting

Categories & Topics: Compliance, Exchange Act/Treasury, Proxy Voting, Reporting

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