All Securities and Exchange Commission (SEC) articles – Page 2
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NewsPMT sells stake in ExxonMobil after failed engagement
The oil firm refused to report on its scope 3 CO2 emissions
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NewsChurch of England fuels ExxonMobil rebellion with open letter
It underlines the importance of governance, in the context not only of climate change, but also the collapse in demand for oil and gas
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NewsCOVID-19 roundup: $2.3trn Fed package, TPR auto-enrolment update
A weekly roundup of select COVID-19-related policy and market developments
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NewsSEC blocks Church climate proposal for Exxon AGM again
The proposal requested Exxon to issue a report describing its plans to reduce its total contribution to climate change
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NewsUK’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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NewsMajor 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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NewsSEC 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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NewsESG 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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NewsSEC 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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NewsProxy 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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NewsLuxembourg 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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NewsUK 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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NewsFCA 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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AnalysisAnalysis: 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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AnalysisAnalysis: 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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NewsEx-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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NewsJoseph 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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NewsEU, US regulators clear path for MiFID II research provision
Providers based outside of the EU can continue to bundle research costs under certain circumstances
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NewsSweden’s regulator worried by Trump deregulation plan
Director Erik Thedéen raises concerns following US visit to SEC, IMF and Federal Reserve
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