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 advisory firms. The following are included:
- Due Diligence Compliance Package Overview
- Due Diligence Questions You Should Ask
- Due Diligence Checklist
- ISS Corporate Solutions, Inc.
- Policies, Procedures and Practices Regarding Potential Conflicts of Interest
- Accuracy of Information
For an overview of our business practices & principles, click here ›
Due Diligence Materials
General
- Institutional Shareholder Services Inc. Form ADV Part 2A (Updated April 2019)
- Institutional Shareholder Services Inc. Form ADV Part 2B (Updated April 2019)
- Institutional Shareholder Services Inc. Due Diligence Compliance Package (November 2017)
- ISS Code of Ethics (Updated December 2018)
- General Code of Conduct
- Institutional Shareholder Services Inc. Policy Regarding Disclosure Of Significant Relationships
- ISS – ISO-Information Security Whitepaper (Updated June 2019)
- Slavery and Human Trafficking Statement
Ownership by Genstar
- ISS Conflicts Policy Regarding Genstar
- Genstar Conflicts Policy Regarding ISS
- ISS Board of Directors Conflicts Policy
- Genstar Affiliated Companies
Best Practices Principles and Stewardship Codes
- ISS Compliance Statement to Shareholder Rights Directive (June 2019)
- ISS Compliance Statement to UK Stewardship Code (September 2016)
- ISS Compliance Statement to Japan’s Stewardship Code (November 2017)
- ISS Compliance Statement for Best Practice Principles for Providers of Shareholder Voting Research & Analysis (April 2017)
