All Securities and Exchange Commission articles
-
NewsPMT sells stake in ExxonMobil after failed engagement
The oil firm refused to report on its scope 3 CO2 emissions
-
News
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
-
News
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
-
News
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
-
News
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
-
News
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’
-
News
Proxy adviser group revises best practice principles
Code of practice updated to introduce new governance, monitoring and reporting structures for proxy advisory companies
-
News
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
-
News
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
-
News
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
-
News
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
-
News
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
-
News
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
-
News
Joseph Mariathasan: What to do about high-frequency trading?
Four years after Michael Lewis’s Flash Boys, questions about high-frequency trading remain
-
News
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
