Regulatory Matters 

Glass Lewis actively engages with regulatory bodies around the world and frequently provides them perspectives from the proxy advisory industry, information on our policies and procedures, and input on pending regulations.

Any additional regulatory-related questions can be directed to regulatory@glasslewis.com.

Statements, Comments & Resources

Glass Lewis Statements and Correspondence

Investor Perspectives on Proxy Advisor Regulation

Government Reports & Pronouncements

United States


Proposed Rules and Final Regulations

Academic Studies

Regulatory Matters Blog

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|Categories: Blog, Regulatory Matters|Tags: , , |

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|Categories: Blog, Regulatory Matters|

Shareholder Voting Research Group Announces Appointment of Best Practice Principles (BPP) Oversight Committee Representatives

The Best Practice Principles Group for shareholder voting research (“BPPG”) and the independent Oversight Committee Chair, Dr. Stephen Davis, today announced the appointment of BPP Oversight Committee (“the Committee”) members who will monitor the Principles [...]

By |July 15, 2020|Categories: Blog, Press Releases, Regulatory Matters|Tags: , |

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|Categories: Blog, Regulatory Matters|Tags: , , , |

Revision of Spanish Governance Code Increases Gender Diversity Targets and Emphasis on Non-Financial Risks

On June 26, 2020 the Spanish National Securities Market Commission (Comisión Nacional del Mercado de Valores or “CNMV”) published some amendments to the Spanish Good Governance Code of Listed Companies (the “Code”). CNMV outlined four [...]

Glass Lewis Submission to the Securities and Exchange Board of India on Proposed Changes to Related Party Transactions Relations

Glass Lewis has submitted a response to the consultation paper from the Securities and Exchange Board of India on proposed changes to related party transactions (“RPTs”). The changes that Glass Lewis commented on relate to: [...]

By |February 27, 2020|Categories: Blog, Regulatory Matters|Tags: , , , , |