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

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 [...]

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 [...]

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 [...]

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|Categories: Blog, Regulatory Matters|Tags: |

Legislative Update: HR 5756 Threatens Shareholder Proposal Resubmission Thresholds

Shareholder rights are once again under legislative threat. Introduced May 10, HR 5756 would require the SEC to adjust resubmission thresholds for shareholder proposals. The language mirrors that of the Financial CHOICE Act in calling [...]

FSC Taiwan’s Governance Roadmap Sets Ambitious Goals for Issuers (and Investors)

Taiwan’s long-awaited update to the 2013 Corporate Governance Roadmap is now available for review and public comment, the Financial Supervisory Commission Republic of China (FSC Taiwan) confirmed in a briefing. On March 27, FSC Taiwan [...]