Regulation Monthly archive

Oct 30, 2018
Have regulators got proxy advisers wrong?
Andrew Gebelin, senior director of proxy research for Glass Lewis, says the call for regulation of proxy advisers considered to have too much influence over institutional investors’ voting is based on a misunderstanding about the real role these firms play in the formation of voting policy. ‘While there is some correlation between our views on some issues, it’s certainly not a determinant of any vote,’...
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Oct 22, 2018
IR30: A look back to August 2001 – Reg FD hits IR
As Betsy Pisik wrote in 2001, IROs who make small talk with an analyst may end up making big trouble for their firm. ‘In these increasingly litigious days, even the most innocuous statement could be construed as material information,’ she wrote in a cover story for IR Magazine of the same year, entitled Open & Shut: Showdown with Lawyers over Reg FD. ...
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Oct 18, 2018
ISS and CII lobby against proxy adviser bill
The Council of Institutional Investors (CII) and ISS have stepped up their lobbying efforts against proxy adviser reforms with the US mid-term elections looming next month. The groups have launched a website that opposes federal legislation HR 4015 and encourages voters to urge their senators not to vote for the measure, which has already passed the House of Representatives. The bill would require proxy advisory firms to register with the SEC. Registered firm...
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Oct 02, 2018
Parisian takeaways: France’s IR community tackles Mifid II, MAR and ESG
Regulation, activism and ESG topped the agenda at IR Magazine’s inaugural France Think Tank, held earlier this month in Paris. The think tank was held in association with French IR body Cliff, whose membership includes many of France’s leading listed companies, several of which had representatives on panels or in attendance at the event this year. It was very fitting, therefore, to have proceedings kicked off by Olivier Psaume, head of IR at information t...
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Oct 02, 2018
Spotlight on a top IRO: Karl Mahler, Roche
Nominated for best investor relations officer (large cap) at this year’s IR Magazine Awards – Europe, Karl Mahler, head of investor relations at Roche, joins us to give an overview of his career so far and an insight into his views on the IR profession. Can you please give a brief overview of your career history to date?  ...
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