1. SEC

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    2. Private Equity Considerations From The SEC’s Climate Proposal

      Private Equity Considerations From The SEC’s Climate Proposal
      Investment in environmental, social and governance (ESG) factors is a top priority for private equity, and it has been for quite some time. Thanks to the increasing belief that strong ESG scores command a higher premium,ESG has rapidly transformed from a nice-to-have differentiator into an integral component of each stage of the investment life cycle, from the growing mandate for investment in ESG to asset owners calls for general ...
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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. Banning ESG funds seems like overkill, but the SEC is understandably concerned that the imprecise scope of ESG funds makes investment in them potentially misleading to investors.
      In Should The SEC Ban ESG Funds?
    2. 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
    3. 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