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, Ed Blount | Sep 29, 2020 | All, Commentary, Cross-Post
European commissioners are reviewing a study from their securities and market authority (ESMA) that includes a recommendation for new laws to combat unfair trading practices and an extended remit for National Competent Authorities (NCAs) to conduct snap audits of...
by David Schwartz J.D. CPA | Nov 19, 2012 | All, Change Overview and Rationale, Formal Regulatory Remedies, Lender Directed Voting
Should we be alarmed about empty voting? According to a recent article, “A Call to Arms on Empty Voting!” by Andrew MacDougall, Robert M. Yalden and Jeremy Fraiberg, yes, we should indeed. Using a proxy battle over a proposal by Canadian company, TELUS to...
