Tag Archives | RIA

RIA Hands Untied

RIA Hands Untied by SEC No-Action Denial

RIA hands untied by Newground Social Investments team and the SEC’s refusal to grant a no-action letter to Baker Hughes (BHI, $BHI) on February 22, 2016. Congratulations to Bruce Herbert and staff at Newground, as well as to their advisors. We have discussed the importance of not counting abstentions before at Simple Majority Vote Counting Initiative for […]

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Matt Illian

How RIAs Can Take the Lead on Corporate Governance

In his 1914 collection of essays called Other People’s Money and How the Bankers Use It, Louis Brandeis argued that powerful men such as J.P. Morgan leveraged unbalanced control of the public’s assets to their own benefit. One hundred years later, not much has changed. If Brandeis were alive today, you can be sure that he […]

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