Tag: Proxy Voting
DOL Will Not Enforce ESG and Proxy Rules, Pending Agency Review
DOL Will Not Enforce ESG and Proxy Rules, Pending Agency Review March 10, 2021 In a welcome development, the Department of Labor has announced that it intends to revisit...
March 10, 2021
Tags: DOL, ERISA, ESG, Fiduciary, Proxy Voting
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...
January 13, 2021
Tags: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate
Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process
Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process DOL ESG Rule to be Reviewed, Fiduciary Exemption May be Delayed January 26, 2021 President Joe Biden was sworn...
January 26, 2021
Tags: Compliance, DOL, ERISA, ESG, Executive Order, Fiduciary, Marketing Rule, Proxy Voting
SEC’s Investor Advisory Committee Adds New Members
SEC’s Investor Advisory Committee Adds New Members December 21, 2020 The SEC’s Investor Advisory Committee (IAC) recently met to discuss corporate disclosure during COVID-19 and the implications of the...
December 21, 2020
Tags: Coronavirus, COVID-19, IAC, Proxy Voting
SEC IM Director Dalia Blass Reflects on Division’s Work
SEC IM Director Dalia Blass Reflects on Division’s Work November 17, 2020 In a recent speech, the SEC’s Division of Investment Management Director Dalia Blass reflected on the Division’s...
November 17, 2020
Tags: Coronavirus, COVID-19, Custody, Dalia Blass, Proxy Voting, Registered Funds, SEC Investment Management
Proxy Voting Not “Set It and Forget It,” Experts Agree
Proxy Voting Not “Set It and Forget It,” Experts Agree September 22, 2020 What’s the big deal about proxy voting? To the surprise of many investment advisers, proxy voting...
September 22, 2020
Tags: Columns, Proxy Voting, Takeaways
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
