News & Analysis as of

Vanguard

Proskauer Rose LLP

Quant Firm Applies to Issue ETF Share Classes in Mutual Funds

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Dimensional Fund Advisors LP ("Dimensional"), a quantitative investment firm, recently filed an application for exemptive relief ("Application") with the Securities and Exchange Commission ("SEC"), seeking permission to offer...more

Mintz

Vanguard, Inc. Announces Climate Disclosure Expectations for Companies With Significant Coal Exposure

Mintz on

John Galloway, the global head of investment stewardship at Vanguard, Inc.--one of the preeminent index fund managers in the United States--recently announced a set of expected climate-focused disclosures that Vanguard...more

King & Spalding

ESG Agenda

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BlackRock Doubles Down on Sustainability - • BlackRock signals substantially more assertive posture on climate-related issues • New approach to shareholder proposals saw BlackRock support 54% of environmental and social...more

Robins Kaplan LLP

Financial Daily Dose 2.11.2021 | Top Story: Fed Chair Powell Urges Focus on Restoring Full Employment

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In a much-anticipated [well, for some of us central bank nerds, at least] to the Economic Club of NY, Fed Chair Powell on Wednesday acknowledged that pent-up consumer demand unlocked by a big government stimulus package could...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Vanguard calculates cost of COVID Distributions

The CARES act allowed 401(k) participants easier access to their account balances,m during the coronavirus pandemic....more

Robins Kaplan LLP

Financial Daily Dose 12.16.2020 | Top Story: EU and UK Regulators Announce Sweeping New Laws Aimed at Big Tech Gatekeepers

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EU and British authorities unveiled new proposals this week to “crimp the power of ‘gatekeeper’ platforms like Amazon, Apple, Facebook, Google and Microsoft, which policymakers argue deserve more oversight given their outsize...more

Robins Kaplan LLP

Financial Daily Dose 12.7.2020 | Top Story: November Hiring Well Below Expectations as Employment Recovery Stalls

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Friday’s jobs report was not only 200,000 jobs below projections for November, but it marked the fifth straight month of a diminished pace of hiring in the United States and brought urgency to facing the reality that there...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Proprietary fund plan sponsor problems

I always say that I come up with many ideas, but most of them are bad. Seriously, there are so many bad ideas out there in the 401(k) space and one of the really bad ideas out there are bundled plan providers using their own,...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Amazon taps Fidelity for its 401(k)

Amazon is a mover and shaker in e-commerce and they have a pretty large 401(k) plan now. As of the end of 2018, their 401(k) plan has almost $6 billion in assets....more

Ballard Spahr LLP

Expanding Board Diversity Remains a Priority

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The push for increased diversity on corporate boards ramped up recently when Vanguard, a leader in mutual funds and asset management, released its 2019 Investment Stewardship Annual Report. The report, released on August 30,...more

Dechert LLP

Global Private Equity Newsletter - Spring/Summer 2019 Edition: Breaking the Mold through Diversity in the Board Room

Dechert LLP on

Private equity sponsors have typically exited their investments through a sale or public offering. While sales to a strategic or another private equity sponsor predominate, public offerings still represent an attractive...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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With a high-level White House meeting on Friday, the US and China have extended trade talks, even as a “final deal remains elusive” (aka, nothing at all is in writing yet). It also appears that the purported progress is...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Vanguard to offer HSAs, interest will be increased

As I’ve been saying for a while, advisors need to offer health savings accounts (HSAs) to the plan sponsors clients they have. They can make money on increased assets and their clients get to offer a tremendous employee...more

A&O Shearman

Third Circuit Allows Putative Class Action To Proceed Against Investment Services Provider, Finding Breach Of Contract Claim Not...

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On September 4, 2018, the United States Court of Appeals for the Third Circuit affirmed the partial denial of a motion to dismiss a putative class action against investment services provider Vanguard Group (the “Company”). ...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - February 2018

A Call For A New Standard For Financial Advisors. A higher standrad for today. Over the last 10 years, there has certainly been a revolution among 401(k) financial advisors about the need and concern of good fiduciary...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Fidelity charging for Vanguard assets, why so surprised?

Starting this year, Fidelity will charge all new 401(k) clients a 5 basis point (0.05%) fee on participant assets invested with Vanguard index funds. The fee won’t apply to existing Fidelity clients and will be billed to the...more

Robinson+Cole Data Privacy + Security Insider

Early Adopter—Vanguard Announces Plan to Utilize Blockchain Technology

Top mutual fund firm The Vanguard Group, Inc. unveiled a plan last week to incorporate blockchain smart contract technology into some of its indexing operations beginning early next year. Vanguard’s initiative will be carried...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Vanguard’s not well known for making waves, but the $4.5 trillion mutual-fund manager has quietly increased its corporate engagement activity over the past year—discussing governance, pay, and other issues with nearly a...more

Dorsey & Whitney LLP

Vanguard Shareholder Climate Change Proposal Withdrawn

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As previously reported on this blog, Vanguard received a shareholder proposal requesting additional disclosure on its climate change voting record, and the proposal was scheduled to appear on the agenda for Vanguard’s 2017...more

Dorsey & Whitney LLP

Investors’ Climate Change Voting Records Face Scrutiny

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Companies who engage with their large institutional shareholders on environmental and social issues during the 2018 proxy season should keep in mind that these investors are facing pressure from other investors on their...more

A&O Shearman

Eastern District Of Pennsylvania Rules That State Law Claims Were Not Preempted By SLUSA

A&O Shearman on

On May 26, 2017, Judge Cynthia Rufe of the United States District Court for the Eastern District of Pennsylvania ruled that the plaintiffs’ state law claims against Vanguard Group, Inc. (“Vanguard”) were not preempted by the...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The effect of more 401(k) bundled provider litigation

There is a proliferation of litigation against plan sponsors and against bundled 401(k) plan providers for offering their own proprietary funds in 401(k) plans for their employees as well as the 401(k) plans they administer...more

Proskauer Rose LLP

ERISA Litigation Newsletter - July 2016

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Editor's Overview - This month we take a look at the plaintiffs' past successes in fee litigations, and the influx of such lawsuits seeking to impose heightened fiduciary standards for 401(k) plans. Regardless of the...more

Dorsey & Whitney LLP

A Call to Action: Leading Executives Issue “Commonsense Principles of Corporate Governance”

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Citing the importance of publicly owned companies to the U.S. economy, a group of thirteen leading executives issued a set of principles, on July 21, 2016, outlining their vision for the critical elements of good corporate...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Problem With Providers Using Their Own Funds In Their 401(k) Plan

I always say that I come up with many ideas, but most of them are bad. Seriously, there are so many bad ideas out there in the 401(k) space and one of the really bad ideas out there are bundled plan providers using their own,...more

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