Regulation Archive

Sep 28, 2022
Matt Brusch: The view from the top of NIRI
What are your aspirations as the new NIRI president and CEO? Matt Brusch: I’ve been associated with NIRI for many years at this point and it’s incredibly important to me: a critically important community. I’m very familiar with the history of the organization and the folks who codified what it meant to do this new profession called investor relations – excellence in financial communications. You’re using its conveni...
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Sep 15, 2022
Opinion: SEC (finally) jumps into ESG fund fracas
Asset managers of all stripes have pushed ESG investments, and investors continue to gobble them up. According to Morningstar, there are now more than 580 ‘sustainable’ open-ended funds and ETFs in the US – well more than five times the number a decade ago – with more than 190 of those launched in 2020-2021. The combined assets of US sustainable funds are now almost ...
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Aug 31, 2022
Understanding the impact of the SEC’s amended proxy rules
New proxy rules introduced by the SEC now require the use of a ‘universal proxy card’ in all non-exempt director election contests, dramatically changing the proxy contest landscape at public companies. Making it significantly easier for shareholders to nominate dissident candidates for election means companies are increasingly likely to face dissident nominations (or nomination threats) from activists known to seek proxy contests, as well as new shareholders for which...
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Aug 19, 2022
The week in investor relations: The buy-side impact of SEC Mifid decision, no good or bad investments in terms of UN SDGs and unions against buybacks
– The TRADE reported that the European buy side expects to be severely disrupted by the SEC’s recent decision to allow its research no-action letter to expire in 2023. That’s according to a survey from Substantive Research. Originally published in response to research unbundling requirements under Mifid II in 2018, the letter was designed to ...
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Aug 04, 2022
Debate looms over SEC shareholder proposals plan
The SEC’s plan to update the grounds on which companies may be allowed to exclude shareholder proposals looks set to divide opinion along traditional lines, even with the deadline for official feedback more than a month away. The commission last month proposed amendments to Rule 14a-8, which governs the process for including sharehol...
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Jul 21, 2022
London Stock Exchange launches taskforce to focus on ‘ultimate purpose’ of capital markets
The London Stock Exchange (LSE) has announced the creation of a new industry group, tasked with improving the competitiveness of the UK capital markets. The LSE says ‘capital markets are often not discussed in the UK through the lens of their ultimate purpose’, which is to ‘direct capital into the real economy to create the jobs and innovation that have an impact on all our lives, and to help savers, pensioners and policyholders find assets to invest in for li...
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Jul 19, 2022
Why Meira is looking at KSA and IR in the Middle East ‘through the looking glass’
It is with anticipation and excitement that the Middle East IR Association (Meira), the regional non-profit IR professional body, welcomes the world of IR to our annual conference and awards. It takes place in Riyadh, Kingdom of Saudi Arabia (KSA), for the first time on October 24, 2022. We have borrowed a title, ‘KSA through the IR looking glass’. Fans of Lewis Carroll will no doubt find their own meani...
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Jul 14, 2022
SEC scraps rules giving companies more power in proxy process
The SEC has voted to undo Trump-era rules that handed companies more involvement in the creation of proxy advice.  Under the changes, proxy advisory firms will no longer need to make available to companies any research about them or share with investors any written responses by companies to voting advice. The rules had been adopted in 2020. ...
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