Intelligize
Compliance Management Solution
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Latest posts
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SEC’s Closed Climate Probe Has Lessons for Asset Managers
Impact investment fund Engine No. 1 owned just a tiny slice of ExxonMobil in 2021 but still won three seats on Exxon’s board by arguing it needed a credible plan for the energy transition. BlackRock, Vanguard, and State Street backed some of its nominees. Afterward, the CEO of…
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Six Things to Know About Cboe’s Binary KPI Options
The Chicago Board of Trade Building is located some 1,520 miles from Las Vegas. But today, the two may feel just a little bit closer. Cboe Global Markets, which has its active trading floor in the building, won SEC approval on October 13 to list binary options tied to specific…
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SEC Puts Proxy Voting in Self-Driving Mode
Last year, Goldman Sachs shareholders representing roughly a third of votes cast objected to $80 million in retention bonuses for CEO David Solomon and President John Waldron, the most pushback on compensation the bank has ever seen. Holders of about a quarter of its shares…
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SEC Takes Two-Track Approach to Private Assets
For about $100 and two hours of multiple-choice questions, the average Joe could soon qualify to buy into private offerings. That is the premise of a FINRA-developed accredited investor exam the SEC is now considering. Anybody 18 or older could sit for roughly 75 questions, and…
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AI Guardrails Are the New Black
One of OpenAI’s research models recently wrote itself a note to stop following the rules. Another autonomously uploaded files to the internet so it could cite them later as evidence. OpenAI disclosed both episodes and four others in an unsettling report. Microsoft is concerned…
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The SEC’s Five Deregulatory Moves in September
When the morning air gets brisk and the calendar turns to September, we can rely on certain rites of fall: pumpkin spice anything, football season, and a flurry of enforcement activity at the SEC. But this year, something’s different. Instead of dropping enforcement actions like…
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AI Borrowing Goes to Plaid
An AI researcher let it slip last week that the technology we’re all embracing could wipe out humanity in the next decade. Bright side: if that came to pass, it would render any concerns expressed in this blog post largely moot. If you wanted something else AI-related to worry…
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Five Compliance Lessons From the NBA’s Penalty Against the Los Angeles Clippers
Most corporate governance failures surface slowly and in pieces. A restatement here, a derivative suit there, an 8-K that raises more questions than it answers. However, every so often one arrives fully assembled, with a public findings report and a schedule of penalties…
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Data Centers Getting Easier to Finance, Harder to Build
What the right hand giveth, the left hand taketh away. We think someone said that once. Regardless, data center operators might be feeling that sentiment right now, because they are getting contrasting signals about their businesses from two different levels of government. Let’s…
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SEC Hangs Up Its Whistle on Shareholder Proposals
The SEC is taking the term “no action” more literally than it ever has before. The agency took its first step away from the no-action process last November, when the Division of Corporation Finance said it would stop weighing in on most company requests to exclude shareholder…