1. SEC

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    1-15 of 1995 1 2 3 4 ... 131 132 133 »
    1. Mentioned In 1995 Articles

    2. SEC Proposal Seeks Transparency in How Money Managers Wield Vast Voting Power

      SEC Proposal Seeks Transparency in How Money Managers Wield Vast Voting Power
      The Securities and Exchange Commission proposed a rule that would require money managers to disclose more information on how they use their voting power. When investors buy a mutual fund and exchange-traded fund from an asset manager, the money manager votes on shareholder proposals on behalf of the investors. Shareholder votes extend from issues from executive compensation to a companys efforts to address climate change...
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    3. 1-15 of 1995 1 2 3 4 ... 131 132 133 »
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    1. Miller used Polycom funds to travel with his friends and girlfriend to luxurious international resorts while falsely claiming the trips were business-related site inspections in advance of company sales retreats.
      In SEC Charges Former Polycom CEO with Concealing Extravagant personal expenses
    2. Because the Company's executive officers operate as a team, the Compensation Committee considers internal pay equity to be an important factor in its decisions on executive compensation.
      In Move Over Tim Cook: Angela Ahrendts Earned $73.3 Million in 2014
    3. The proxy advisory firm must provide the recipient of the advice with disclosure that provides notice of the presence of a significant relationship or a material interest.
      In Proxy Advisers Must Disclose Conflicts of Interest, SEC Says
    4. As our new CEO, Mr. Lawson quickly aligned the organization to support our customers and programs, added new leadership talent to the team and helped to position the company for success.
      In Spirit AeroSystems shareholders to vote on exec pay at annual meeting
    5. Alcoa's subsidiaries used a London-based consultant with connections to Bahrain's royal family as an intermediary to negotiate with government officials and funnel the illicit payments to retain Alcoa's business as a supplier to the plant.
      In Alcoa Reaches Settlement With SEC And DOJ Over Bahraini Bribery Scandal
    6. Although today's settlement resolves claims against JPMorgan relating to this matter, our investigation is continuing as to individuals.
      In Jamie Dimon as the Steven Cohen of Banking
    7. Senior management failed to adequately update the audit committee on these and other important facts concerning the CIO before the firm filed its first quarter report for 2012.
      In Jamie Dimon as the Steven Cohen of Banking
  3. Quotes about SEC

    1. The failure to hold any senior executives responsible for the massive misconduct during the financial crisis stands out as a failure in enforcement and not just at the SEC.
      In SEC Nominees Commit to Revisiting Regulations, Holding Executives Accountable
    2. The SEC should mandate whatever it needs to mandate to get everybody in a room and work this out.
      In Improving Proxy-Voting System Discussed At SEC Roundtable
    3. Having Commissioner Roisman at the helm of the process is a great first step and means you have someone who really understands the minutiae of the SEC's rule-making process steering the process.
      In SEC Commissioner Takes Agency Lead on Proxy-Voting Efforts