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Keywords: Proxy advisory firms
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Journal Articles
SEC issues Staff Legal Bulletin after four-year comprehensive review of proxy system
Available to PurchaseJohn E. Sorkin, Abigail Pickering Bomba, Steven Epstein, Jessica Forbes, Peter S. Golden, Philip Richter, Robert C. Schwenkel, David Shine, Arthur Fleischer, Gail Weinstein
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (1): 63–65.
Published: 05 May 2015
... aspects of the guidance; and the matters that were expected to be, but were not, addressed by the SEC. Findings – The guidance does not go as far in regulating proxy advisory firms as many had anticipated it would. The key obligations specified in the guidance are imposed on the investment advisers...
