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

Glass Lewis Submission on Draft Governance Code (Philippines)

On October 10, 2019, the Securities and Exchange Commission Philippines released its Draft Code of Corporate Governance for Public Companies and Registered Issuers. The Draft Code is meant to update the existing corporate governance code, [...]

By |October 31, 2019|Categories: Blog, Regulatory Matters|

SEC Proxy Recommendations Include Universal Ballot and Vote Confirmations

If effecting change at a single institution is like reversing the course of an aircraft carrier, revamping the proxy system is something akin to turning around a whole fleet. Undaunted by the task, it appears [...]

Glass Lewis CEO Katherine Rabin Issues Statement Regarding SEC Guidance

On Wednesday the US Securities and Exchange Commission (SEC) issued guidance related to “Investment Advisers’ Proxy Voting Responsibilities and the Application of Proxy Rules to Voting Advice.”  We look forward to reviewing the clarifications that [...]

By |August 22, 2019|Categories: Blog, Regulatory Matters|

Glass Lewis Submission to SEBI on Issues Related to Proxy Advisors

On July 29, 2019, the Securities and Exchange Board of India (“SEBI”) issued a report submitted by the Working Group it formed in November 2018 to review certain issues related to proxy advisors. The report [...]

By |August 20, 2019|Categories: Blog, Regulatory Matters|Tags: , , , , |

BPPG Formally Launch New 2019 Best Practice Principles for Shareholder Voting Research & Analysis

Leading Global Shareholder Voting Research & Analysis Providers Commit to New Governance & Oversight Structure in Independently Reviewed Updated 2019 Principles The Independent Review Chair of the Best Practice Principles for Shareholder Voting Research & Analysis Group (the “BPPG”), Dr. [...]

Glass Lewis Submission on Spanish SRD II Consultation: Introduction of Loyalty Shares

Glass Lewis has submitted a response to the Spanish consultation on the proposed changes to Spanish Companies Law which transposes Shareholder Rights Directive II ("SRD") into national legislation. While most of the proposed changes are [...]