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5 May 2023, 6:30 am
Securities and Exchange Commission, on Thursday, May 4, 2023 Tags: Dodd-Frank Act, Financial institutions, Financial regulation, Form PF, Monetary policy, SEC enforcement Statement by Chair Gensler on Form PF Posted by Gary Gensler, U.S. [read post]
11 Apr 2023, 11:33 am
Edited by Gary J. [read post]
13 Feb 2023, 5:59 am
In the following guest post, Brian Baney, Senior Vice President, Head of Management and Professional Liability Claims, Ascot Group, Peter Trochev, Senior Vice President, Financial Institutions, Ascot Group, Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC, survey the current risk environment for private equity firms. [read post]
27 Jan 2023, 6:30 am
Goldstein, Schulte Roth & Zabel LLP, on Thursday, January 26, 2023 Tags: 10b5-1, Corporate governance, Exchange Act, MNPI, SEC, SEC enforcement Oversight of Proxy Voting Advisors: US and EU Regulators Converge Posted by Stephen Davis (Harvard Law School), and Konstantinos Sergakis (University of Glasgow), on Thursday, January 26, 2023 Tags: ESMA, Glass Lewis, Institutional Investors, ISS, Proxy voting, SEC [read post]
27 Jan 2023, 6:30 am
Goldstein, Schulte Roth & Zabel LLP, on Thursday, January 26, 2023 Tags: 10b5-1, Corporate governance, Exchange Act, MNPI, SEC, SEC enforcement Oversight of Proxy Voting Advisors: US and EU Regulators Converge Posted by Stephen Davis (Harvard Law School), and Konstantinos Sergakis (University of Glasgow), on Thursday, January 26, 2023 Tags: ESMA, Glass Lewis, Institutional Investors, ISS, Proxy voting, SEC [read post]
23 Dec 2022, 6:30 am
., on Friday, December 16, 2022 Tags: Corporate governance, Executive Compensation, ISS, Proxy voting, Stewardship, Sustainability Statement by Chair Gensler on PCAOB’s Determinations Regarding Public Accounting Firms in China Posted by Gary Gensler, U.S. [read post]
23 Dec 2022, 6:30 am
., on Friday, December 16, 2022 Tags: Corporate governance, Executive Compensation, ISS, Proxy voting, Stewardship, Sustainability Statement by Chair Gensler on PCAOB’s Determinations Regarding Public Accounting Firms in China Posted by Gary Gensler, U.S. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: 10b5-1, Corporate governance, EDGAR, MNPI, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements Posted by Gary Gensler, U.S. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: 10b5-1, Corporate governance, EDGAR, MNPI, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements Posted by Gary Gensler, U.S. [read post]
11 Nov 2022, 6:30 am
Securities and Exchange Commission, on Thursday, November 3, 2022 Tags: Dodd-Frank Act, Form N-PX, Proxy voting, Say on pay, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Form N-PX Posted by Gary Gensler, U.S. [read post]
11 Nov 2022, 6:30 am
Securities and Exchange Commission, on Thursday, November 3, 2022 Tags: Dodd-Frank Act, Form N-PX, Proxy voting, Say on pay, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Form N-PX Posted by Gary Gensler, U.S. [read post]
7 Nov 2022, 10:18 am
Stephen Morrison, senior vice president and director of CSIS’ Global Health Policy Center; Gary Edson, president of the COVID Collaborative; and Jenelle Krishnamoorthy, vice president and head of global public policy and international affairs at Merck. [read post]
16 Sep 2022, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, September 16, 2022 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of September 9-15, 2022 Speech by Chair Gensler on Kennedy and Crypto Posted by Gary Gensler, U.S. [read post]
19 Aug 2022, 6:30 am
., on Friday, August 12, 2022 Tags: Climate change, Environmental disclosure, ESG, Materiality, SEC, SEC rulemaking, Securities regulation, Sustainability Statement by Chair Gensler on PCAOB Amendments to Strengthen Auditing Standards for Audits Involving Multiple Firms Posted by Gary Gensler, U.S. [read post]
19 Aug 2022, 6:30 am
., on Friday, August 12, 2022 Tags: Climate change, Environmental disclosure, ESG, Materiality, SEC, SEC rulemaking, Securities regulation, Sustainability Statement by Chair Gensler on PCAOB Amendments to Strengthen Auditing Standards for Audits Involving Multiple Firms Posted by Gary Gensler, U.S. [read post]
29 Jul 2022, 6:30 am
Sharfman (Main Street Investors Coalition Advisory Council), on Thursday, July 28, 2022 Tags: Climate change, Comment letters, Disclosure, Environmental disclosure, ESG, Investor protection, Risk, SEC, SEC rulemaking, Securities regulation Remarks by Chair Gensler at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” Posted by Gary Gensler, U.S. [read post]
29 Jul 2022, 6:30 am
Sharfman (Main Street Investors Coalition Advisory Council), on Thursday, July 28, 2022 Tags: Climate change, Comment letters, Disclosure, Environmental disclosure, ESG, Investor protection, Risk, SEC, SEC rulemaking, Securities regulation Remarks by Chair Gensler at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” Posted by Gary Gensler, U.S. [read post]
13 Jul 2022, 7:55 am
Wikipedia explains: The special featured performances by many of the popular artists of the day like Jan & Dean, Mary Wells, the Dave Clark Five, Gary Lewis and the Playboys, The Supremes, Patti LaBelle & the Bluebelles, The Drifters, The Miracles, Ray Charles, Marvin Gaye, The Ronettes, Chuck Jackson, The Four Tops, The Temptations, The Righteous Brothers and Little Anthony & the Imperials occasionally interspersed with Murray the K's public announcements… [read post]
28 Jun 2022, 7:13 am
The Bradford Hill Predicate: Ruling Out Random and Systematic Error In two recent posts, I spent some time discussing a recent law review, which had some important things to say about specific causation.[1] One of several points from which I dissented was the article’s argument that Sir Austin Bradford Hill had not made explicit that ruling out random and systematic error was required before assessing his nine “viewpoints” on whether an association was causal. [read post]
10 Jun 2022, 4:00 am
National/Federal A Broken Redistricting Process Winds Down, with No Repairs in Sight San Juan Daily Star – Michael Wines (New York Times) | Published: 6/6/2022 The once-a-decade process of drawing new boundaries for the nation’s 435 congressional districts is limping toward a close with the nation’s two political parties roughly at parity. [read post]
