top of page
reports from corporate governance land
Doug Chia
Sep 16, 2022
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.
0 comments
Doug Chia
Aug 30, 2022
Comment Letter: SEC Proposal on Investment Company Names
SEC comment letter on proposed rules on Investment Company Names.
1 comment
Doug Chia
Aug 16, 2022
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...
0 comments
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.
0 comments
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.
0 comments
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?
0 comments
Doug Chia
Sep 28, 2021
The Virtual Annual Meeting Shareholder Proposals!
The SEC staff appears to have flipped the script on shareholder proposals about virtual shareholder meetings.
0 comments
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.
0 comments
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.
0 comments
Doug Chia
Dec 2, 2019
Say it ain't so, Broc. Say it ain't so!
A fond farewell to Broc Romanek, pillar of the corporate securities and governance community.
0 comments
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...
0 comments
bottom of page