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
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- Institutional Shareholder Services Inc. Form ADV Part 2A (Updated March 2024)
- Institutional Shareholder Services Inc. Form ADV Part 2B (Updated March 2024)
- Institutional Shareholder Services Inc. Due Diligence Compliance Package (February 2022)
- ISS Code of Ethics (Updated November 2023)
- General Code of Conduct (Updated November 2024)
Conflict Mitigation Policies
- Policy Regarding Disclosure of Significant Relationships (Updated March 2024)
- Policy Related to Deutsche Börse
- Deutsche Börse Affiliated Companies
- Policy Related to General Atlantic
- General Atlantic Affiliated Companies
- Policy Related to the ISS STOXX Shareholders’ Committee
- Director Affiliated Companies
Information Related to ISS India
- Disclosure Information Related to ISS India (Updated March 2024)
- Review Process for Indian Issuers
- Details on Investor Complaints
- Investor Charter for Research Analysts
Stewardship Codes
- ISS Compliance Statement to Shareholder Rights Directive (June 2019)
- UK Stewardship Code – 2022 Report
- UK Stewardship Code Signatories
- ISS Compliance Statement to Japan’s Stewardship Code (September 2020)
Best Practices Principles Compliance Statements
Codes of Conduct
- ISS Consolidated Response to Global Codes of Conduct for ESG Ratings and Data Products Providers (December 2024)
- ISS Self-Attestation Checklist for the Singapore Code of Conduct for ESG Rating and Data Product Providers (December 2024)
- ISS Self-Attestation Document for the Hong Kong Code of Conduct for ESG Ratings and Data Products Providers (December 2024)
- ISS Endorsement Statement of the Financial Services Agency of Japan’s Code of Conduct for ESG Evaluation and Data Providers (June 2024)
