Leslie Cruz

Leslie Cruz

Mayer Brown

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US SEC Issues Supplementary Proxy Voting Guidance for Investment Advisers

On July 22, 2020, the US Securities and Exchange Commission (SEC) published supplementary guidance in the form of a policy statement (Policy Statement) regarding the proxy voting responsibilities of investment advisers under...more

7/29/2020  /  Best Interest Standard , Corporate Governance , Investment Adviser , Investment Management , Policy Statement , Proxy Season , Proxy Voting , Proxy Voting Guidelines , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

SEC Adopts Securities Offering and Communications Reforms for BDCs and Closed-End Funds

On April 8, 2020, the Securities and Exchange Commission (SEC) voted to adopt final rule amendments that modernize the offering related provisions of the Securities Act of 1933, as amended (the Securities Act), and the...more

4/14/2020  /  Business Development Companies , Closed-End Funds , Offerings , Securities and Exchange Commission (SEC) , Shelf Corporations , WKSIs

US SEC Announces Flexibility in Comment Period Closing Dates Due to COVID-19 Challenges

The US Securities and Exchange Commission (“SEC”) recently announced that it will not take final action before April 24, 2020, regarding the following five proposed actions, which have comment periods expiring in March, to...more

3/20/2020  /  Closing Date , Comment Period , Coronavirus/COVID-19 , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Provides Guidance Relating to the Proxy Voting Process: First Analysis

In this Lexis Practice Advisor Practice Note, we discuss two releases published by the Securities and Exchange Commission (SEC) on August 21, 2019. One release contains interpretation and guidance regarding the applicability...more

11/22/2019  /  Corporate Governance , Institutional Shareholder Services (ISS) , Investment Adviser , Proxy Season , Proxy Voting , Proxy Voting Guidelines , Publicly-Traded Companies , Regulatory Oversight , Regulatory Requirements , Rule 14a-8

SEC Publishes Final Interpretation of Investment Adviser Standard of Conduct

On June 5, 2019, the SEC published an interpretation of the standard of conduct for investment advisers under the Investment Advisers Act of 1940. The objective of the Proposed and Final Interpretations was to reaffirm and...more

6/17/2019  /  Broker-Dealer , Duty of Care , Duty of Loyalty , Fiduciary Duty , Financial Services Industry , Investment Adviser , Investment Management , Regulatory Standards , Securities and Exchange Commission (SEC) , Standard of Conduct
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