SEC (finally) jumps into ESG fund fracas
The SEC has taken the first steps to create some much-needed semblance of order and structure in the ESG investment industry.
Doug Chia
- Aug 30
Comment Letter: SEC Proposal on Investment Company Names
SEC comment letter on proposed rules on Investment Company Names.
Doug Chia
- Aug 16
Comment Letter: SEC Proposals on ESG Fund Names and Disclosures
I support the Commission’s efforts to enhance the level and quality of disclosure required by funds that claim to invest based on ESG...
Doug Chia
- Apr 19, 2021
When Disclosure Is the Better Part of Valor: Lessons From the AT&T Regulation FD Enforcement Action
The AT&T enforcement action shows the SEC continues to examine corporate strategies to influence securities analysts’ quarterly estimates.
Doug Chia
- Jan 19, 2021
Defund the PACs!
Don't just press pause on corporate PACs. Defund them. Cancel them. No one will be worse off.
Doug Chia
- Apr 16, 2020
"I saw this on Facebook, so it must be..."
Last week, I was asked about a meme on Facebook that 14 CEOs were tipped off by government officials about the imminent spread of Covid-19.
Doug Chia
- Apr 7, 2020
COVID-19 Annual Meeting and SEC Disclosure Checklist and Best Practices Reference Guide
ProxyAnalytics and SoundboardGovernance have published a COVID19 Annual Meeting & SEC Disclosure Checklist & Best Practices Reference Guide.
Doug Chia
- Sep 14, 2019
ISS Policy Survey Results for 2019
No big surprises, but here are a few areas I found interesting, as well as some suggestions for ISS to make the survey results more helpful.
Doug Chia
- Sep 9, 2019
The SEC's Proxy Advisory Firm Guidance
What really needs to happen is throwing sunshine on the funds that heavily rely on PAFs. That's where some novel disclosure requirements...
