Tag: Proxy
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
Tags: House Financial Services, Inside the Beltway, Proxy, Proxy Voting
SEC Eyes Proxy Advisory Firm Rule Changes, Seeks Comment on Related Guidance
The SEC is proposing substantial amendments to its controversial 2020 proxy advisory firm rules. And it's seeking comment on its equally controversial guidance for investment advisers on proxy voting, asking whether that guidance should be rescinded, revised, or clarified. This comes after SEC Chair Gary Gensler’s directed staff to consider whether the rules warranted further action and Corp Fin announced it would not recommend enforcement action while the rules were under review.
November 22, 2021
Tags: Elad Roisman, Gary Gensler, Hester Perice, Proxy
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
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
2020 Policy Outlook: Looking Ahead Requires Looking Back
2020 Policy Outlook: Looking Ahead Requires Looking Back By IAA President & CEO Karen Barr January 1, 2020 Karen BarrIAA President & CEO The IAA is proud to have advanced...
January 01, 2020
Tags: Privacy, Columns, Form CRS, From the President & CEO, Karen Barr, Proxy, Proxy Voting, Reg BI
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
Tags: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management
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
Tags: Elad Roisman, Gary Gensler, Hester Peirce, Proxy, SEC Corporation Finance
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
Tags: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing
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
Tags: Allison Herren Lee, Investment Company, Proxy, Shareholder Proposals
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
Tags: Allison Herren Lee, Climate, ESG, Proxy
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