The ISS Due Diligence 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 advisory firms.
Due Diligence Materials
General
- Institutional Shareholder Services Inc. Form ADV Part 2A (Updated November 2022)
- Institutional Shareholder Services Inc. Form ADV Part 2B (Updated March 2022)
- Institutional Shareholder Services Inc. Due Diligence Compliance Package (February 2022)
- ISS Code of Ethics (Updated November 2022)
- General Code of Conduct (Updated November 2022)
- ISS – ISO-Information Security Whitepaper (Updated November 2022)
- Modern Slavery Statement 2021 (Updated June 2022)
Conflict Mitigation Policies
- Policy Regarding Disclosure of Significant Relationships (Updated May 2021)
- Policy Related to Deutsche Börse
- Deutsche Börse Affiliated Companies
- Policy Related to Genstar Capital
- Genstar Affiliated Companies
- Policy Related to the Board of Directors of ISS HoldCo
- Director Affiliated Companies
Information Related to ISS India
- Disclosure Information Related to ISS India (Updated March 2023)
- Review Process for Indian Issuers
- Details on Investor Complaints
- Investor Charter for Research Analysts
Best Practices Principles and Stewardship Codes
- ISS Compliance Statement to Shareholder Rights Directive (June 2019)
- UK Stewardship Code – 2020 Report
- UK Stewardship Code Signatories
- ISS Compliance Statement to Japan’s Stewardship Code (September 2020)
- ISS Compliance Statement for Best Practice Principles for Providers of Shareholder Voting Research & Analysis (February 2022)
