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The Filing Cabinet
"The Filing Cabinet," which covers compliance with the Dodd-Frank Act and the Sarbanes-Oxley Act, as well as other regulatory action from the Securities and Exchange Commission, executive compensation, and shareholder activism, is written by CW staff writer Joe Mont. Mont welcomes questions, comments, and statements from readers on SEC filing matters and will address them here when appropriate. Readers can contact him at joe.mont@complianceweek.com.
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The Filing Cabinet Blog
Proxy Advisers Get New SEC Guidance on Conflict Disclosure
Joe Mont | July 8, 2014
Amid growing scrutiny of proxy advisory firms and concerns about their influence over corporate governance matters and the potential for conflicts of interest, the Securities and Exchange Commission has issued new guidance. It addresses conflicts, disclosure exemptions, and the use of these firms by investment managers voting on behalf of clients.
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The Filing Cabinet Blog
SEC Provides Fresh Advice on Verifying Accredited Investors
Joe Mont | July 8, 2014
The Securities and Exchange Commission has offered up additional guidance on how hedge funds, venture capitalists, and start-ups should verify accredited investor status when they advertise private securities offerings. Last July, the SEC amended Regulation D to allow general solicitation and chose a "flexible, principles-based" approach for verifying the suitability of investors.
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