Doug ChiaAug 30, 2022Comment Letter: SEC Proposal on Investment Company NamesSEC comment letter on proposed rules on Investment Company Names.
Doug ChiaAug 16, 2022Comment Letter: SEC Proposals on ESG Fund Names and DisclosuresI support the Commission’s efforts to enhance the level and quality of disclosure required by funds that claim to invest based on ESG...
Doug ChiaDec 14, 2021Staff 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.