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on its equally controversial guidance for investment advisers on proxy voting, asking whether that guidance should be rescinded, revised, or clarified.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
Gensler Directs SEC Staff to Review Proxy Advisory Firm Interpretation, Rule CorpFin Delays Enforcement Recommendations for Now; Two Commissioners Object June 2, 2021 SEC Chair Gary Gensler In a...
June 02, 2021
Tags: Elad Roisman, Gary Gensler, Hester Peirce, Proxy, SEC Corporation Finance
IAA Presents List of Critical Adviser Issues, Regulatory Challenges To New SEC Chair as He Formulates His Regulatory Agenda May 19, 2021 SEC Chair Gary Gensler Sustainable investing, proxy...
May 19, 2021
Tags: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing
SEC Reopens Comment Period on Universal Proxy Proposal, Considers Application to Closed-End Funds and BDCs April 27, 2021 The SEC has reopened the comment period for a proposal to...
April 27, 2021
Tags: Allison Herren Lee, Investment Company, Proxy, Shareholder Proposals
SEC Acting Chair Lee Calls for Public Input on Climate Change Disclosures, Directs Staff to Review 2019 Adviser Proxy Guidance March 17, 2021 Adding momentum to the SEC’s intensifying...
March 17, 2021
Tags: Allison Herren Lee, Climate, ESG, Proxy
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