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561 results blog 10/20/2020 06:00
Last week, Liz blogged about ISS’s benchmark policy document. In addition to the ESG & diversity policy changes that she mentioned, page 34 of the document sets forth a proposed policy under which ISS would generally endorse Delaware exclusive forum bylaws for Delaware corporations. Here’s an excerpt from Wachtell Lipton’s memo on the proposed policy: […] blog 10/19/2020 06:00
On Friday, the SEC announced amendments to the auditor independence requirements set forth in Rule 2-01 of Regulation S-X. Here’s the 130-page adopting release. The amendments are intended to update the independence rules to address recurring fact patterns that triggered technical independence rule violations without necessarily impairing the auditor’s objectivity and impartiality. Among other things, […] blog 10/07/2020 06:03
Late last year, some may recall when reports started surfacing of allegedly “fishy” comment letters submitted to the SEC ahead of the agency’s proxy advisor rulemaking. The Office of Inspector General recently issued a statement summarizing its investigation and concludes there was no wrongdoing. Here’s an excerpt: Each person interviewed stated they willingly submitted a […] blog 10/06/2020 06:03
PwC issued its annual survey of nearly 700 U.S. directors. The survey covers a lot of ground and identifies several areas of opportunity for boards, including those relating to crisis management and board refreshment. Despite identifying problem areas, the survey’s introduction says the pandemic offers an opportunity for boards to leverage the crisis to create […] blog 10/05/2020 06:03
Last week, the SEC announced several enforcement actions as it wrapped up its fiscal year – here’s John’s blog about an alleged MD&A “Known Trends” violation. Earlier though, another SEC enforcement settlement slipped under the radar – in which the SEC alleged that a Nasdaq-traded company in the business of “live-adult entertainment clubs” and “military-themed […] blog 10/02/2020 06:00
Yesterday, the SEC scheduled an open meeting for Wednesday, October 7th. The topic is one that’s likely to be of interest to anyone involved with small cap companies – a proposal to provide some relief from broker-dealer registration for “finders” involved in capital raising. Here’s an excerpt from the Sunshine Act notice: The Commission will […] blog 09/30/2020 06:00
Earlier this week, the SEC announced settled enforcement proceedings against Fiat-Chrysler arising out of allegedly misleading disclosures about its compliance with emissions standards. Here’s an excerpt from the SEC’s press release: The SEC’s order found that in February 2016, FCA represented in both a press release and an annual report that it conducted an internal […] blog 09/28/2020 06:00
Last week, ISS released the results of its 2020 policy benchmark survey. Here are some of the highlights: Pandemic-Related Issues 1. ISS policy guidance in response to COVID-19 pandemic: With respect to ISS’s policy guidance issued in response to the pandemic, a significant majority of both investor (62%) and non-investor respondents (87%) indicated that ISS […] blog 09/25/2020 06:02
Last week, the Business Roundtable released these “Principles & Policies Addressing Climate Change” – a 16-page statement that declares the US should adopt a “market-based approach” to reduce emissions in line with the Paris Agreement. The BRT is careful to note that carbon should be priced only where it is environmentally and economically effective and […]

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