Regulatory Oversight, Corporate Governance, New Guidance

ESMA principles on third-party risk supervision

Walkers on 6/26/2025

On 12 June 2025, ESMA published its principles on third-party risk supervision which are designed to assist supervisory authorities to identify, assess and supervise the third-party risks of EU entities operating across the...more

Think Compliance Got Easier? Think Again—DOJ’s New Era in White-Collar Enforcement (Part 3)

Katten Muchin Rosenman LLP on 5/23/2025

In our prior two posts, we’ve delved into the memorandum issued by the Head of the Department of Justice’s (Department) Criminal Division, Matthew R. Galeotti—"Focus, Fairness, and Efficiency in the Fight Against White-Collar...more

SEC Issues MD&A Guidance

Mayer Brown Free Writings + Perspectives on 2/5/2020

On January 30, 2020, the US Securities and Exchange Commission (SEC) provided guidance (MD&A Guidance) regarding the disclosure of key performance indicators and metrics used in the Management’s Discussion and Analysis of...more

SEC Issues Guidance and Interpretation Aimed at Proxy Voting

Perkins Coie on 9/3/2019

The U.S. Securities and Exchange Commission (SEC) held an open meeting on August 21, 2019, (the Open Meeting) and approved two items: (1) guidance regarding the proxy voting responsibilities of investment advisers under the...more

SEC Guidance Will Impact Roles of Proxy Advisers and Investment Advisers in Proxy Context

Womble Bond Dickinson on 9/3/2019

Last week, the U.S. Securities and Exchange Commission (“SEC”) approved interpretative guidance relating to (i) the application of proxy rules to proxy advisory firms and (ii) the fiduciary role of investment advisers within...more

SEC Releases Guidance to Clarify Investment Advisers’ Proxy Voting Responsibilities and Interpretation of Proxy Rules to Voting...

Faegre Drinker Biddle & Reath LLP on 8/30/2019

At an open meeting held on August 21, 2019 (the “Meeting”), the Commissioners of the Securities and Exchange Commission (SEC) issued guidance (the “Guidance”), by a 3-2 vote, to assist investment advisers when conducting...more

SEC’s New Guidance Targets Proxy Voting Responsibilities

Fenwick & West LLP on 8/28/2019

Possibly signaling the future direction of regulation of proxy advisers, the U.S. Securities and Exchange Commission (SEC) on Aug. 21 issued two sets of interpretive guidance, one regarding proxy advisory firms under the...more

Regulatory Oversight › Corporate Governance › New Guidance