Regulation Monthly archive

Sep 25, 2019
Senators introduce bill to extend whistleblower protection
A bipartisan group of senators this week introduced a bill designed to expand the scope of protection for whistleblowers who bring to light violations of US securities and commodities law. The bill would extend protection from retaliation to whistleblowers who opt to report wrongdoing internally before or instead of reporting directly to the SEC or Commodities Futures Trading Commission (CFTC...
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Sep 24, 2019
Groups reject revised 14a-8 no-action approach
Groups including Ceres and the Council of Institutional Investors have called for the SEC’s division of corporation finance to drop its recently revised approach to handling shareholder proposals that companies want to exclude from AGMs. The groups argue in a letter to division director William Hinman that the altered process ‘reduces transparency and ...
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Sep 23, 2019
IROs let off steam about Mifid II
IROs used a recent survey about Mifid II to let off some steam about the European regulation. Half of IR professionals say they have a negative view of the impact of Mifid II, while just 14 percent take a positive view, according to a new research report from IR Magazine. The research polled 79 IROs on their feelings about Mifid II and its impact on their IR programs. The sur...
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Sep 16, 2019
Mifid II report now available
The latest report from IR Magazine examines the impact that Mifid II regulation has had on investor relations since its introduction in January 2018. Based on interviews with 79 members of the IR Magazine research panel, data is broken down by region, cap size and overall impression of Mifid II. The report looks at how IROs view Mifid II in general and relates this to how it has affected aspects of IROs’ workload in particular. It also examines t...
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