Search for: "BNY Mellon Shareholder Services"
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10 Jul 2012, 9:44 am
Some big ones are Computershare; BNY Mellon; Wells Fargo Shareholder Services. [read post]
17 Aug 2022, 6:30 am
The same week the proposed rules were released, the SEC announced that BNY Mellon Investment Adviser, Inc. agreed to pay a $1.5 million fine to the SEC to settle allegations that the firm made misleading claims about ESG funds it managed. [read post]
17 Aug 2022, 6:30 am
The same week the proposed rules were released, the SEC announced that BNY Mellon Investment Adviser, Inc. agreed to pay a $1.5 million fine to the SEC to settle allegations that the firm made misleading claims about ESG funds it managed. [read post]
6 Apr 2017, 6:05 am
Table 1: Investor Voting on Golden Parachute Proposals Investor Votes For (%) Votes Against (%) AllianceBernstein LP 70 30 BlackRock 93 7 BNY Mellon 66 34 Dimensional Fund Advisors, Inc. 68 27 Fidelity Management & Research 68 31 Goldman Sachs Asset Management LP 73 17 Northern Trust 99 1 SSgA Funds Management, Inc. [read post]
15 Jul 2022, 6:29 am
Combatting Racial Inequity: A Two-Year Retrospective Posted by Adam Emmerich, David Silk, and Sabastian Niles, Wachtell, Lipton, Rosen & Katz, on Friday, July 8, 2022 Tags: Accounting, Corporate Social Responsibility, Diversity, Engagement, ESG, Transparency The Proposed SEC Climate Disclosure Rule: A Comment from Jon Lukomnik and Keith Johnson Posted by Jon Lukomnik (Sinclair Capital), and Keith Johnson (Global Investor Collaboration Services,… [read post]
15 Jul 2022, 6:29 am
Combatting Racial Inequity: A Two-Year Retrospective Posted by Adam Emmerich, David Silk, and Sabastian Niles, Wachtell, Lipton, Rosen & Katz, on Friday, July 8, 2022 Tags: Accounting, Corporate Social Responsibility, Diversity, Engagement, ESG, Transparency The Proposed SEC Climate Disclosure Rule: A Comment from Jon Lukomnik and Keith Johnson Posted by Jon Lukomnik (Sinclair Capital), and Keith Johnson (Global Investor Collaboration Services,… [read post]
24 Aug 2022, 9:01 pm
(“BNY Mellon”), relating to its ESG assurances in violation of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. [read post]
21 Jun 2022, 9:01 pm
On the heels of its two companion proposals, the SEC fined BNY Mellon Investment Adviser $1.5 million for misstatements and omissions related to its ESG practices. [read post]
4 Jan 2012, 12:33 am
Fair or not, the online reports seem to be leading directly to shareholder litigation, as in many cases the shareholder plaintiffs’ are simply quoting the online analysts’ reports in their complaints. [read post]
16 May 2023, 9:01 pm
In a press release, Andrew Dean, Co-Chief of the SEC’s Asset Management Unit, said, “Today’s action reinforces that investment advisers must develop and adhere to their policies and procedures over their investment processes, including ESG research, to ensure investors receive the advisory services they would expect to receive from an ESG investment. [read post]
