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The SEC this month has brought two actions for violation of whistleblower rules. According to a SEC cease-and-desist order released on August 10, at one company in 2011 to the present the...
IN THIS ISSUE:
News and calendar
The impact of Brexit on the UK’s implementation of TLAC/MREL
Bankers’ bonuses and Brexit
August has arrived and, with it, little additional clarity...
ISS has issued its policy survey for the 2017 proxy season. The responses to the survey questions from interested parties inform the firm’s changes to its policies in making voting reco...
We recently published a survey of corporate governance practices adopted by companies in their IPOs
. Our survey concluded that IPO companies continue to adopt charter provisions such as...
On July 13, 2016, the Securities and Exchange Commission (“SEC”) proposed amendments (the “Proposal”) to Rule 606 of Regulation NMS that would require, for the first time, broker-...
In what appears to be the first of its kind, the SEC staff has determined that a company cannot exclude a proposal that a board amend its existing proxy access bylaw on the basis of subst...
In July 18, 2016, FINRA filed with the SEC a proposal that would expand the TRACE reporting rules to require FINRA members to report most transactions in U.S. Treasuries, which include Tr...
SEC Rules and Regulations
SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans
Industry Update
SEC Division of Investment Management Publishes Business C...
A new MSCI report reviewed 429 large-cap U.S. companies from 2006 to 2015 and found that, on a 10-year cumulative basis, total shareholder returns of those companies whose compensation wa...
A group of twelve CEOs, including JPM, Berkshire Hathaway, GE, GM, Verizon and those from major institutional investors such as Capital Group, BlackRock, Vanguard, StateStreet, T. Rowe Pr...