Small capSRD II: ‘Across Europe, retail investors are starting to have a voice,’ says Broadridge manager Mar 15, 2022Garnet RoachEurope’s Shareholder Rights Directive II (SRD II) has mandated the provision of proxy voting services by intermediaries to both...Read more
RegulationSEC proposes shake-up for Rule 10b5-1 trading plans Mar 03, 2022Cynthia KrusKrystyna Blokhina GilkisStephani HildebrandtOn December 15, 2021 the SEC proposed extensive amendments to Rule 10b5-1 that would, among other things, impose a cooling-off period...Read more
Small capSmaller firms could question value of public listings if faced with ‘over-burdensome reforms,’ warns QCA Feb 23, 2022Garnet RoachThe Quoted Companies Alliance (QCA) has spoken out against the risk of creating ‘over-burdensome regulation’ by crafting new rules...Read more
RegulationUK think tank calls for regulation of ESG ratings Feb 22, 2022Garnet RoachThe UK’s International Regulatory Strategy Group (IRSG) is calling for the ESG ratings industry to be regulated, citing concerns...Read more
ESGESG-touting giants’ climate and net-zero claims criticized Feb 18, 2022James BeechNestlé and Unilever are among 25 major multinational companies accused of misleading or exaggerating their pledges to combat climate...Read more
Case studiesUAE approves first Spac framework for GCC region Jan 26, 2022Tim HumanThe UAE has approved the first special purpose acquisition company (Spac) regulatory framework for the Gulf Cooperation Council (GCC)...Read more
ActivismThe universal proxy – Coming this fall! Ticker 129 Jan 25, 2022Jeff CossetteThis episode of the Ticker podcast is sponsored by Broadridge Financial Services Michael Donowitz, vice president of...Read more
ESGWhy a little regulation can be a good thing and whether this whole ESG thing is just a fad: Ticker 122 Feb 23, 2021Jeff CossetteIR Magazine ’s Jeff Cossette talks to Joe Vicari, practice lead for ESG at Broadridge Financial Solutions, on how disclosure...Read more
Shareholder targeting & IDOpposition to SEC’s 13F proposal builds as comment deadline passes Sep 30, 2020Ben AshwellAs the formal comment period for the SEC’s proposed changes to the 13F filing thresholds closed, the commission had received more than...Read more
RegulationUS regulatory environment has ‘shifted dramatically’ on ESG, say legal experts Jan 08, 2020Ben AshwellAs the SEC considers how issuers should report on certain material ESG issues and the House of Representatives waits to discuss a...Read more