By
Jaclyn Jaeger2019-08-28T19:09:00
New SEC releases address the applicability of proxy rules to proxy voting advice and provide guidance to investment advisers in fulfilling their proxy voting responsibilities, particularly when they retain the services of a proxy advisory firm.
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2021-06-03T21:10:00Z By Jaclyn Jaeger
SEC Chairman Gary Gensler announced he is directing staff to consider whether to recommend further regulatory action regarding proxy voting advice, leading the agency to pause related enforcement activity.
2019-11-13T21:10:00Z By Lori Tripoli
In a lawsuit filed against the SEC, advisory firm ISS argues that, contrary to SEC opinion, proxy advice is not a solicitation under securities laws.
2026-03-13T21:06:00Z By Neil Hodge
New powers granted to the U.K.’s main competition watchdog will result in greater scrutiny, tougher enforcement, and a stark warning for companies to review their sales and marketing promotions—especially since some practices have been pushed firmly into the spotlight thanks to legislation that came into effect last year.
2026-03-13T19:16:00Z By Adrianne Appel
Disclosure requirements for public companies have ballooned over the decades and need to be reigned in, the three members of the Securities and Exchange Commission (SEC), said Thursday.
2026-03-11T21:06:00Z By Adrianne Appel
The Department of Justice (DOJ) criminal division has announced a blanket policy against prosecuting companies that voluntarily disclose criminal wrongdoing and take other steps—and holding any individuals involved accountable for their criminal activities.
2026-03-03T19:39:00Z By Neil Hodge
The U.K.’s financial regulators have long maintained that AI use by banks, insurers, and other financial services firms is already regulated under existing rules, but such assurances are increasingly being questioned.
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