by David Schwartz J.D. CPA | Oct 12, 2021 | All, Cross-Post, Disclosure Regimes
The Securities and Exchange Commission issued a proposal to expand investment company disclosures of their proxy voting activities. If adopted, the rules would enhance the information mutual funds, exchange-traded funds, and other regulated investment companies are...
by David Schwartz J.D. CPA | Aug 19, 2021 | All, Cross-Post
German courts and regulators have put securities lenders on notice that cross-border withholding tax (WHT) reclaim “schemes” are now “crimes.” Recent developments in Germany have cleared the way for sweeping tax audits and potential criminal...
by David Schwartz J.D. CPA | May 21, 2021 | All, Commentary, Cross-Post, Formal Regulatory Remedies
Environmental, social, and governance (ESG) investing has taken global financial markets by storm over the last few years. Post-pandemic, the demand for ESG investments has only intensified and has proven to be much more durable than a fad. However, lack of...
by David Schwartz J.D. CPA | May 11, 2021 | All, Commentary, Cross-Post
January’s GameStop frenzy, where amateur online retail traders took what they hoped would be a rollicking joyride through the world of high finance, has left regulators scratching their heads about what to do next and the retail buccaneers themselves with quite...
by David Schwartz J.D. CPA | Apr 22, 2021 | All, Commentary, Cross-Post
After nearly twenty years of study, the Securities and Exchange Commission seems poised to rewrite the rules on proxy disclosure for mutual funds. Two SEC commissioners predicted within days of each other that there will be radical revisions to how regulated...
