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SEC Proposes Regulation Best Interest for Broker-Dealers

USA - April 18 2018 The SEC has proposed two rules and an interpretation to address retail investor confusion about the relationships that they have with investment...


SEC Clarifies Need for GAAP Reconciliations for Forecasts Used in Business Combinations

USA - April 4 2018 The SEC previously noted in a Compliance and Disclosure Interpretation that financial measures included in forecasts provided to a financial advisor...


ISS Updates FAQs on U.S. Proxy Voting Research and Policies

USA - April 2 2018 ISS has updated its frequently asked questions on U.S. Proxy Voting Research Procedures & Policies (Excluding Compensation-Related). New and updated...


Advocacy Group Requests SEC to Investigate Irregularities in Pay Ratios

USA - March 29 2018 An advocacy group, Public Citizen, has requested the SEC to investigate irregularities and inconsistencies in pay ratios reported by public companies...


Hensarling Pressures Senate to Negotiate Dodd-Frank Reform

USA - March 28 2018 On March 14, 2018, the Senate passed the Economic Growth, Regulatory Relief and Consumer Protection Act which has been billed as Dodd-Frank reform...