Leslie Cruz

Leslie Cruz

Mayer Brown

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SEC Provides Guidance Relating to the Proxy Voting Process: First Analysis

In this Lexis Practice Advisor Practice Note, we discuss two releases published by the Securities and Exchange Commission (SEC) on August 21, 2019. One release contains interpretation and guidance regarding the applicability...more

11/22/2019  /  Corporate Governance , Institutional Shareholder Services (ISS) , Investment Adviser , Proxy Season , Proxy Voting , Proxy Voting Guidelines , Publicly-Traded Companies , Regulatory Oversight , Regulatory Requirements , Rule 14a-8

SEC Publishes Final Interpretation of Investment Adviser Standard of Conduct

On June 5, 2019, the SEC published an interpretation of the standard of conduct for investment advisers under the Investment Advisers Act of 1940. The objective of the Proposed and Final Interpretations was to reaffirm and...more

6/17/2019  /  Broker-Dealer , Duty of Care , Duty of Loyalty , Fiduciary Duty , Financial Services Industry , Investment Adviser , Investment Management , Regulatory Standards , Securities and Exchange Commission (SEC) , Standard of Conduct
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