Posts Categorized ‘Financial Regulation’

Fiduciary Duty and Socially Conscious Investing – Guidance for Investment Managers and the new DOL Fiduciary Rule
By Guest Contributor

By Greg Jackson, 2016 SRI Conference Scholar The updated guidance issued by the Department of Labor (DOL) in October 2015 acknowledged that fiduciaries can proactively apply Environmental, Social, Governance (ESG) factor analysis when making investment decisions, and that those factors may have a "direct relationship to the economic and financial value of an investment." What Read more »

Posted: April 7, 2017

A Post-Election Impact Investor Survival Kit
By Ana Olaya-Rotonti

Donald Trump has been elected President of the United States. This headline took much of the world by surprise on November 8, 2016. Beyond the initial shock, perhaps half of the citizenry of the United States are feeling very pessimistic about the future under a Trump presidency. While more clarity will arise with time, some Read more »

Posted: December 14, 2016

Does Corporate Lobbying Compromise Democracy… and Capitalism?
By Holly Testa, Director, Shareowner Engagement

The dictionary definition of lobbying is "an organized group of people who work together to influence government decisions that relate to a particular industry or issue." Lobbying would therefore seem to be a cornerstone of democracy in action. If numerous groups that reflect the rich diversity of opinion held within society are effectively represented, governmental Read more »

Posted: October 27, 2015

Regulate by Retail: Assessing Shareholder Risk in Corporate Supply Chains
By Lauren Morrell

A panel of experts at the 25th annual SRI Conference discussed the power of investors, consumers, and public interest groups to influence corporate practices and regulations that seek to guide more responsible company behavior. The panel included Robert Frisbee, CEO of the Green Electronics Council, and Glenn Hurowitz, Managing Director of Climate Advisers, who shared Read more »

Posted: December 10, 2014

What Makes a Green Bond “Green”?
By Michael Schweibinz

A high level of enthusiasm and optimism flowed through the 25th annual SRI Conference as a panel of experts discussed the past, present, and future of the rapidly emerging green bond market. The discussion panel consisted of issuers, rating agencies, and investors sharing their own perspectives on the market, its players, impact, and metrics. Speakers Read more »

Posted: December 3, 2014

Time to Change the “Dual Mandate”
By Mel Miller

The Federal Reserve is coming under growing criticism for actions taken during and since the Great Recession. In light of the political acrimony which currently permeates Washington, DC, I am concerned that any decisions that will change the workings of the Federal Reserve could merely be politically motivated and not in the best interests of the Read more »

Posted: September 17, 2014

Only the Shadow Knows…
By Mel Miller

In 2012, I first shared my concerns about the rise in shadow banking. In fact, I listed shadow banking as one of the “gray swans” during my annual presentation at The SRI Conference that year. The broad definition of “shadow banking” includes any bank-like activity undertaken by a firm not regulated as a bank. That would not Read more »

Posted: June 9, 2014

Conflict Minerals Reporting: Cue the Applause!
By Michael Schweibinz

Earlier this month, the District of Columbia Circuit Court of Appeals denied the suspension of the SEC conflict minerals reporting rule. The Court’s decision upholds section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. This Court decision eliminates any uncertainty that companies might have had about proper reporting. Consequently, the SEC expects Read more »

Posted: May 30, 2014

Does High Frequency Trading Create Market Efficiency?
By Michael Schweibinz

High Frequency Trading (HFT) utilizes computer algorithms to move in and out of stock positions at extraordinarily high speeds. These algorithms identify market patterns and execute large volumes of security purchases and/or sales in milliseconds. Profits are generally counted in tenths of pennies per share; but it’s a volume business, and the pennies add up Read more »

Posted: May 28, 2014

Applause!!! Europe Requires Sustainable Reporting for Large Public Companies
By Michael Schweibinz

The European Parliament has passed a historic law that will require major businesses to include sustainability factors as part of their annual financial reports. By 2017, all publicly traded companies that employ over 500 workers will be required to abide by this new standard. No doubt, this new law will reverberate through smaller companies as well, as Read more »

Posted: April 30, 2014

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