Search for: "Matter of Will of Hester"
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24 Dec 2022, 6:30 am
SUMMARY On November 2, 2022, the SEC voted 3 to 2 (Commissioners Hester Peirce and Mark Uyeda dissenting) to adopt amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds and certain other registered funds (“funds”) report about their proxy votes (together, the “final rules”).[1] In addition, the final rules will require disclosure on Form N-PX of how institutional investment managers (“managers”) voted on… [read post]
24 Dec 2022, 6:30 am
SUMMARY On November 2, 2022, the SEC voted 3 to 2 (Commissioners Hester Peirce and Mark Uyeda dissenting) to adopt amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds and certain other registered funds (“funds”) report about their proxy votes (together, the “final rules”).[1] In addition, the final rules will require disclosure on Form N-PX of how institutional investment managers (“managers”) voted on… [read post]
16 Dec 2022, 6:30 am
Parker, PricewaterhouseCoopers LLP, on Tuesday, December 13, 2022 Tags: board diversity, Board of Directors, ERM, Risk, Risk assessment, Risk management Big Three Power, and Why it Matters Posted by Lucian A. [read post]
16 Dec 2022, 6:30 am
Parker, PricewaterhouseCoopers LLP, on Tuesday, December 13, 2022 Tags: board diversity, Board of Directors, ERM, Risk, Risk assessment, Risk management Big Three Power, and Why it Matters Posted by Lucian A. [read post]
24 Nov 2022, 9:00 pm
Securities and Exchange Commission, on Friday, November 18, 2022 Tags: Asset management, Disclosure, ESG, Financial regulation, SEC enforcement, Stewardship Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner Posted by Hester M. [read post]
24 Nov 2022, 9:00 pm
Securities and Exchange Commission, on Friday, November 18, 2022 Tags: Asset management, Disclosure, ESG, Financial regulation, SEC enforcement, Stewardship Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner Posted by Hester M. [read post]
28 Oct 2022, 6:32 am
The proxy vote at issue centered on the acquisition of TSC Industries by National Industries, in which shareholders were being asked to approve the proposed exchange of TSC common and Series 1 preferred stock for National Series B preferred stock and warrants.[11] This was a quintessential investment decision involving the appropriate enterprise value of two different entities, not a vote on a routine matter or a non-binding shareholder proposal. [read post]
27 Oct 2022, 5:39 am
The amendments will not affect the availability of Rule 30e-3 for closed-end funds and management companies that offer variable annuity contracts.Commissioners Hester Peirce and Jaime Lizárraga also voted to approve the amendments. [read post]
17 Sep 2022, 9:15 am
Department of Housing and Urban Development Assistant Inspector General Convicted of Falsifying Financial Disclosure Forms (DOJ Release)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)SEC Charges Investment Adviser with Violating the Proxy Voting Rule (SEC Release)Statement Regarding In the Matter of Toews Corporation by SEC Commissioner Hester Peirce and Commissioner Mark T. [read post]
25 Jul 2022, 4:10 am
VOTE Stephen Kohn for Small Firm Governor (BrokeAndBroker.com Blog)SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft (SEC Release)Statement Regarding In the Matter of Aegis Capital Corporation by SEC Commissioner Hester M. [read post]
7 Jul 2022, 9:01 pm
[2] Hester M. [read post]
23 Jun 2022, 9:01 pm
(“The Division is considering recommending that the Commission adopt rules under the Advisers Act to address lack of transparency, conflicts of interest, and certain other matters involving private fund advisers. [read post]
23 Jun 2022, 8:59 am
Peirce acknowledged that the agenda does include several matters that are in keeping with the agency’s core mission. [read post]
23 Jun 2022, 6:33 am
Posted by Hester M. [read post]
23 Jun 2022, 6:33 am
Posted by Hester M. [read post]
21 Jun 2022, 4:24 am
Peirce<a href="#brinks">SEC Charges the Brink's Company with Violating Whistleblower Protection Rule (SEC Release)</a>A Caution on the Limits of Authority: Statement Regarding In the Matter of The Brink’s Company by SEC Commissioner Hester M. [read post]
7 Jun 2022, 6:30 am
SEC Commissioner Hester Peirce dissented, contending that the SEC’s Order “does not explain what, precisely, Mr. [read post]
7 Jun 2022, 6:30 am
SEC Commissioner Hester Peirce dissented, contending that the SEC’s Order “does not explain what, precisely, Mr. [read post]
26 May 2022, 9:01 pm
For example, it would require a fund to disclose “the percentage of ESG-related voting matters during the reporting period for which the Fund voted in furtherance of the initiative. [read post]
18 Apr 2022, 3:30 am
That announcement prompted an extraordinary statement from Commissioner Hester Peirce criticizing the SEC for its inaction concerning that registration statement. [read post]
