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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.

Disenfranchising Shareholders and Reducing Corporate Accountability: Comments Due on DOL Proposal to Limit Shareholder Voting by October 5, 2020    

Investors’ ability to manage assets and exercise shareholder voting rights to create value and mitigate risk are again under attack in Washington, D.C., this time by the Department of Labor (“DOL”). Fresh on the heels [...]

By |September 21, 2020|Blog, Regulatory Matters|Comments Off on Disenfranchising Shareholders and Reducing Corporate Accountability: Comments Due on DOL Proposal to Limit Shareholder Voting by October 5, 2020    

New SEC Guidance Increases Compliance Work for Investment Advisers; Leveraging Glass Lewis’ Existing Compliance Solutions to Meet Regulatory Expectations

As July turns to August and many of us think of extra time with family and perhaps even a covid-modified vacation, the SEC has continued what has become a regrettable late summer tradition during this [...]

By |August 6, 2020|Blog, Regulatory Matters|Comments Off on New SEC Guidance Increases Compliance Work for Investment Advisers; Leveraging Glass Lewis’ Existing Compliance Solutions to Meet Regulatory Expectations

DOL Proposes Rule on ESG & Fiduciary Duties under ERISA: Call for Comment

On June 23, 2020, the Department of Labor (“DOL”) issued a proposed rule on plan fiduciaries’ duties when considering investments that incorporate environmental, social, and governance (“ESG”) factors. Now plan fiduciaries, asset managers, and other [...]

By |July 13, 2020|Blog, Regulatory Matters|Comments Off on DOL Proposes Rule on ESG & Fiduciary Duties under ERISA: Call for Comment

Glass Lewis Submits Comment Letter to SEC on Proposed Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice

Glass Lewis has submitted a comment letter regarding the United States Securities and Exchange Commission regarding the proposed Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice. As a proxy advisor, Glass Lewis [...]

By |February 4, 2020|Blog, Regulatory Matters|Comments Off on Glass Lewis Submits Comment Letter to SEC on Proposed Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice

Glass Lewis Comment Letter on Proposed Revisions to Japan’s Stewardship Code

Glass Lewis has submitted a comment letter on proposed Revisions to the Principles for Responsible Institutional Investors ≪Japan’s Stewardship Code≫. In particular, Glass Lewis shared comments regarding the new Principle 8, which provides guidance to [...]

By |January 28, 2020|Blog, Regulatory Matters|Comments Off on Glass Lewis Comment Letter on Proposed Revisions to Japan’s Stewardship Code

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
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