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The action, which garnered a spirited dissent from Commissioner Hester Peirce, offers a few important takeaways for companies hoping to avoid running afoul of Rule 21F-17(a) should an employee share concerns about conduct that potentially violates the securities laws. [read post]
9 Aug 2019, 6:16 am
A Catch 22 for Asset Managers Posted by Jasmin Sethi, Sethi Clarity Advisers LLC, on Friday, August 2, 2019 Tags: Asset management, BlackRock, Diversity, Engagement, Index funds, Institutional Investors, Shareholder voting, SSgA, Transparency, Vanguard Opportunities for Cross Border Cooperation in Regulation of Digital Assets Posted by Hester M. [read post]
21 Oct 2015, 4:12 am by Broc Romanek
I moderated a panel with Hester on it a few years back at our annual executive pay conference. [read post]