There Is No “C” In “ESG”: An Illustration of ESG’s Biggest Risk
The various and creative ways in which cyber security can be packaged as ESG demonstrate the potential for ESG to become an open-ended term.
Doug Chia
- Sep 16
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
- Dec 14, 2021
Staff Legal Bulletin 14L and the Significant Social Policy Exception: A Possible Solution?
Determining what is a "significant social policy issue" under Rule 14a-8(i)(7) desperately needs a multi-pronged test.
Doug Chia
- Dec 8, 2021
VSM Proposals: Soup and Crackers
The virtual shareholder meeting related proposal votes are in, and the results are interesting.
Doug Chia
- Dec 1, 2021
Staff Legal Bulletin 14L: No More Nexus
Shouldn’t there be a nexus between a shareholder proposal and the company at which it is filed? The answer to this question seems obvious.
Doug Chia
- Nov 19, 2021
J&J's Stockholders Win
It will take a long time for me to get used to Johnson & Johnson without Johnson’s Baby.
Doug Chia
- Nov 17, 2021
How to Make Your Board Materials Reflect Well on *You*
Things to Keep In Mind As You Prepare Your Board and Committee Meeting Advance Materials and Yourself for Board and Committee Meetings.
Doug Chia
- Nov 10, 2021
(First in a Series of) Thoughts on Staff Legal Bulletin No. 14L
The term “significant policy issue” doesn’t appear anywhere in Rule 14a-8. So, where does this exception come from?
Doug Chia
- Oct 19, 2021
BlackRock Gives It Away
BlackRock's announcement to let indexed clients instruct their votes has received wide praise, but the move raises a number of questions.
Doug Chia
- Aug 26, 2021
Reimagining Board Committees to Accommodate Worker Voice
Demands for worker voice are on the rise. Boards could soon be challenged to accommodate worker voice more formally in corporate governance.
Doug Chia
- Aug 25, 2021
A Seat at the Table: Worker Voice and the New Corporate Boardroom
The Aspen Institute just published a series of six essays that present fresh perspectives on "worker voice" in the boardroom.
Doug Chia
- Jul 24, 2021
"VSMs on 'Autopilot'… Is that Legal?" (from the OPTIMIZER)
A reaction to my previous post about pre-recorded virtual annual meetings from The Shareholder Service OPTIMIZER.
Doug Chia
- Jun 23, 2021
The Question I Asked at This Year's Virtual Shareholder Meetings
I tested the waters with the Q&A function at VSMs this year by submitting a question about PACs.
Doug Chia
- Jun 21, 2021
If An Annual Meeting Takes Place In the Woods…
How virtual can a virtual shareholder meeting be and still be called a meeting?
Doug Chia
- May 28, 2021
BlackRock's 2021 VSM: Pretty good for a non-event
There was nothing extraordinary about BlackRock's 2021 virtual shareholder meeting, but I kind of liked it.
Doug Chia
- Apr 21, 2021
Snapshots from the Carrier 2021 VSM
I attended the Carrier Global Corporation 2021 Annual Meeting of Shareowners on Monday, April 19 (vitual-only, audio-only).
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
- Apr 15, 2021
Supporting California AB 1192, the Uplifting Employers That Advance Job Quality Act
Letter I submitted in support of California AB 1192, the Uplifting Employers That Advance Job Quality Act.
