- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Image: The SEC has sided with Whole Foods in a closely watched effort to submit its own proxy access proposal at the annual meeting. The move supersedes a proposal sought by activist shareholder Jim McRitchie, who wanted to give proxy access to any group of shareholders that collectively owns at ...
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Image: Companies preparing for proxy season face a profound change in how the SEC views the exclusion of shareholder proposals. New guidance on that point is decidedly pro-shareholder and makes a confusing landscape even more so. “This was an early Christmas gift, wrapped up in a bow” for activist investors, ...
What the SEC giveth, the courts may taketh away—a point made clear lately by two conflicting messages for companies seeking to keep shareholder proposals off the proxy statement. At the SEC, a victory for Whole Foods suggests the agency might be more business-friendly in granting no-action letters this coming proxy ...
Fund management company WisdomTree will pay $4 million to settle allegations by the Securities and Exchange Commission that it improperly invested in fossil fuel and tobacco companies in environmental, social and governance (ESG) funds despite promising to avoid them.
