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About Nichol Garzon

Nichol Garzon is Glass Lewis’ SVP and General Counsel and oversees all legal and compliance matters for the company and its subsidiaries worldwide.

Washington Update – Proxy Process Focus Continues

Following the SEC Proxy Roundtable last month, the Senate Committee on Banking, Housing, and Urban Development held a hearing on Proxy Process and Rules: Examining Current Practices and Potential Changes. The December 6th hearing allowed [...]

By |December 7, 2018|Blog, Regulatory Matters|Comments Off on Washington Update – Proxy Process Focus Continues

Legislative Update: Senate Bill Redefines Proxy Advisors as Investment Advisers

Just as the SEC convenes a Staff Roundtable to look at the proxy process as a whole, including the possible regulation of the proxy advisory industry , on November 14 six U.S. Senators introduced a [...]

By |November 15, 2018|Blog, Regulatory Matters|Comments Off on Legislative Update: Senate Bill Redefines Proxy Advisors as Investment Advisers

SEC Roundtable on the Proxy Process: Glass Lewis Statement to the Record

As part of its contribution to the SEC Staff Roundtable on the Proxy Process, on November 14 Glass Lewis submitted a statement to the record. You can read the statement here. The statement sets out Glass [...]

By |November 15, 2018|Blog, Regulatory Matters|Comments Off on SEC Roundtable on the Proxy Process: Glass Lewis Statement to the Record

Glass Lewis Response To SEC Statement Regarding Staff Proxy Advisory Letters

The proxy advisor no-action letters, issued in 2004 to Egan-Jones and ISS, described the duty of investment advisers to ensure their proxy advisor(s) have the capacity and competency to adequately analyze proxy issues. While the [...]

By |September 14, 2018|Blog, Regulatory Matters|Comments Off on Glass Lewis Response To SEC Statement Regarding Staff Proxy Advisory Letters

Glass Lewis Response to U.S. Senate Banking Committee Letter, Including Clarification of Business Practices

On May 9, 2018, Glass Lewis received a letter from members of the U.S. Senate Banking Committee, seeking information regarding Glass Lewis and the business practices of proxy advisory firms: Senate Banking Committee Letter - [...]

By |June 18, 2018|Blog, Regulatory Matters|Comments Off on Glass Lewis Response to U.S. Senate Banking Committee Letter, Including Clarification of Business Practices

Glass Lewis Statement on H.R. 4015 – Corporate Governance Reform and Transparency Act of 2017

In response to the ongoing debate over H.R. 4015—a bill that was submitted to the U.S. Senate for consideration after approval by the House of Representatives on December 21, 2017— Glass Lewis would like to [...]

By |March 9, 2018|Blog, Regulatory Matters|Comments Off on Glass Lewis Statement on H.R. 4015 – Corporate Governance Reform and Transparency Act of 2017
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