Due Diligence Materials

The ISS Due Diligence Compliance Package is designed to assist our clients and prospective clients in fulfilling the legal/regulatory obligation to conduct due diligence regarding independent third party proxy voting firms.

Compliance Package Overview
Questions You Should Ask
Representation and Warranty
ISS' Corporate Services Division
Due Diligence Checklist
Policies, Procedures and Practices Regarding Potential Conflicts of Interest
ISS Code of Ethics

Sullivan & Cromwell LLP prepared a review of company policies and procedures regarding the ISS Corporate Services, Inc. business. Please click here to view a letter detailing their findings.

For an overview of our business practices and principles click here.

Files

Institutional Shareholder Services Inc. Form ADV Part II (April 2013)

Institutional Shareholder Services Inc. Due Diligence Compliance Package (November 2012)

Conflict Policy Review by Sullivan & Cromwell

MSCI Inc. ISS Board Conflicts Policy

List of MSCI Inc. Director Affiliated Companies

New from ISS

Institutional Shareholder Services to Open its Platform to Select Research and Data Providers

Rockville, MD; April 18, 2013 – Institutional Shareholder Services Inc. (ISS), a leading provider of corporate governance solutions to the global financial community, today announced that it opened its ProxyExchange™ platform to third party research and data providers in an effort to offer institutional clients a single gateway to access multiple sources of governance research and information.

ISS Response to the U.S. Chamber of Commerce's Guidelines for Proxy Advisory Firms

Rockville, MD; March 21, 2013 – As a firm committed to helping institutional investors exercise their fiduciary duties, ISS could not disagree more with the U.S. Chamber of Commerce’s assertions that the corporate governance system is broken.

ISS Comments on ESMA Principles for Proxy Advisors

Rockville, MD; March 18, 2013 – ISS Comments on Principles Regarding the Proxy Advisory Industry Derived from ESMA's Analysis.

Institutional Shareholder Services Launches ISS Governance QuickScore™

Rockville, MD; February 25, 2013 – Institutional Shareholder Services Inc. (ISS), a leading provider of corporate governance solutions to the global financial community, has launched ISS Governance QuickScore™, a new quantitatively-based scoring and screening solution designed to help institutional investors identify and manage governance risk in companies held in their investment portfolios.

2013 Proxy Season Preview: Environmental and Social Issues

Submitted by root on Fri, 2013-03-15 17:36

For the second year, political issues have surpassed environmental concerns as the top environmental and social (E&S) subject that shareholders will be asked to vote on at annual meetings during the spring proxy season, but both areas contain substantial numbers of resolutions.

Institutional Shareholder Services Offers Meeting Results Service

Rockville, MD; February 6, 2013 – Institutional Shareholder Services Inc. (ISS), a leading provider of corporate governance solutions to the global financial community, has launched a new, comprehensive Meeting Results Service, covering global meetings from January 1, 2013 forward.

2012 Post Season Report: World Markets

Submitted by root on Tue, 2013-03-05 19:04

The 2012 Proxy Season Review of World Markets contains a compilation of our 2012 Post Season Reports by market.

Securities Class Action Services Top 100 Settlements Report

Submitted by root on Thu, 2013-01-17 14:01

Building on the industry's most comprehensive database on securities class action litigation, ISS' Securitites Class Action Services Top 100 Settlements Semi-Annual Report for 2H 2012 identifies the largest securities class action settlements filed after the passage of the Private Securities Litigation Reform Act of 1995, ranked by the total value of the settlement fund.

The Top 100 Settlements Semi-Annual Report provides a wealth of information, including the settlement date, filing court, settlement fund, and identifies the key players for each settlement.