All Securities and Exchange Commission articles
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NewsPeople moves: Redington creates deputy CEO role
Redington, DAV, ITS, Partners Capital, FIR, Tesco Pension Investment, BMO, KPMG, SEI, The Investor Forum, SEC
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ESG roundup: Investors challenge EC agriculture policy reform plans
Plus: SEC clears emissions reduction targets proposal for vote at ConocoPhilipps; Insurer AXA to drop energy company RWE
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PMT sells stake in ExxonMobil after failed engagement
The oil firm refused to report on its scope 3 CO2 emissions
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UK’s USS adds to investor disapproval of SEC proxy rule proposals
Critics argue SEC’s proposals would undermine the implementation of shareholder rights and a conduit for holding companies to account
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Major proxy adviser sues US regulator over guidance
The move by ISS is the latest development in a heated tussle between proxy advisers and pro-business lobby groups
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SEC highlights proxy voting rules, guidance amid ESG debate
SEC provides guidance to fund managers about proxy voting responsibilities and to proxy advisory firms about anti-fraud rules
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ESG roundup: UK ‘economics of biodiversity’ review kicks into gear
Plus: The US Securities and Exchange Commission is to consider whether or not to publish guidance about the use of proxy advice in the shareholder voting process
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SEC proposes revised corporate disclosure rules
US regulator’s revamp is intended to make disclosures more readable for investors and simplify compliance to cut out ‘unnecessary costs and burdens’
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Proxy adviser group revises best practice principles
Code of practice updated to introduce new governance, monitoring and reporting structures for proxy advisory companies
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Luxembourg regulator highlights hard Brexit implications for UK firms
CSSF requires notifications from financial services firms by 15 September and a further submission by the end of October in order to keep operating through a ‘hard Brexit’ scenario
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UK and Australia agree post-Brexit regulatory co-operation
MoUs follow agreements with US and EU regulators as leaders prepare to discuss Article 50 extension
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FCA finalises ‘no-deal’ rules as parliament rejects Brexit agreement again
UK regulator publishes final rulebook for EU exit transition and reaffirms information-sharing agreement with SEC
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Analysis: US proxy process under scrutiny – ESG under threat?
The SEC roundtable is bringing together stakeholders with diverging views on proxy advisers and shareholder voting. Sue Rust reports
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Analysis: Is it time to scrap quarterly reporting for listed companies?
A tweet from the US president has renewed a discussion about the pros and cons of three-month updates
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Ex-State Street transitions chief convicted of fraud
Hidden trade mark-ups helped generate $20m in “improper revenue” for the bank, according to US regulators
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Joseph Mariathasan: What to do about high-frequency trading?
Four years after Michael Lewis’s Flash Boys, questions about high-frequency trading remain
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EU, US regulators clear path for MiFID II research provision
Providers based outside of the EU can continue to bundle research costs under certain circumstances
