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.
2026-04-08T21:01:00Z By Adrianne Appel
A new Department of Justice (DOJ) division will lead investigations of government fraud, and take over duties—and staff, and funds– currently handled by other DOJ divisions and government agencies, Acting Attorney General Todd Blanche announced.
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The Hong Kong Monetary Authority’s Bank Culture Reform program is in its eighth year. Phase 2 of its misconduct-sharing scheme covers more than 50,000 banking professionals. The shift signals regulators are evaluating whether culture works, not just prescribing rules.
2026-04-07T20:49:00Z By Adrianne Appel
A rule overhaul proposed by the U.S. Treasury Department’s Financial Crimes Enforcement Network is designed to reduce compliance burden, which would free up banks from tracking all but the most egregious illicit financial activities.
2026-04-03T18:20:00Z By Ruth Prickett
On Oct. 11, 2027, the EU, U.K., and Switzerland will move to T+1 securities settlement. The date may seem distant, but the challenges are considerable.
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