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Proxy Voting (76)
Your search for Proxy Voting returned 76 results.
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9/05/2019 | Content area: Investment Adviser
When a split SEC approved new guidance on proxy voting for investment advisers, backers said it would bring much-needed clarity in an increasingly com...
8/22/2019 | Content area: Investment Adviser
Investment advisers will have to conduct annual reviews of their proxy voting programs under new guidance approved by a split SEC Aug. 21.   The 26-pa...
8/21/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing guidance regarding the proxy voting responsibilities of investmen...
8/21/2019 | Content area: Broker-Dealer
The Securities and Exchange Commission (the “SEC” or the “Commission”) is providing an interpretation and related guidance regarding the applicability...
8/08/2019 | Content area: Investment Adviser
A new Investment Company Institute report on proxy voting released July 29 reveals that fund advisers don’t mechanically vote or take a one-size-fits-...
6/18/2019 | Content area: Investment Adviser
Given the influential role of proxy advisors, companies started to realize that they needed to pay attention to proxy advisors’ recommendations. For e...
4/18/2019 | Content area: Investment Adviser
The SEC’s Director of the Division of Investment Management Dalia Blass has signaled that developments on improvements to the proxy advisory process c...
4/11/2019 | Content area: Investment Adviser
Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual...
4/08/2019 | Content area: Investment Adviser
Important Issues for Investors in 2019 Rick Fleming, SEC Investor Advocate The SEC Speaks in 2019 Washington D.C. April 8, 2019 Good afte...
3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
3/18/2019 | Content area: Investment Adviser
Another aspect of proxy voting that I am interested in is thresholds for submission and resubmission of shareholder proposals. It is important to achi...
11/15/2018 | Content area: Investment Adviser
A day-long meeting Nov. 15 before SEC commissioners recounted a litany of problems around proxy voting and sprinkled potential solutions that may ulti...
9/18/2018 | Content area: Investment Adviser
With this pending Roundtable and other policy considerations in mind, the staff of the Division of Investment Management has recently re-examined the ...
9/13/2018 | Content area: Investment Adviser
Some two weeks after a new group urged the Commission to tamp down on the administrative state (IA Watch, Aug. 30, 2018), SEC Chairman Jay Clayton has...
7/20/2018 | Content area: Investment Adviser
    Securities Exchange Act of 1934 - Rule 14a-8 Asia Pacific Fund-Omission of Shareholder Proposal Submitted by Matisse Capi...
5/11/2018 | Content area: Investment Adviser
We are unable to concur in your view that the Fund may exclude the Proposal from the Proxy Materials under Rule 14a-8(i)(3). We do not conclude that y...
3/08/2018 | Content area: Investment Adviser
We are unable to concur in your view that the Fund may exclude the Proposal from the Proxy Materials under Rule 14a-8(i)(3). We are unable to conclude...
1/25/2018 | Content area: Investment Adviser
We are unable to conclude that you have demonstrated objectively that the proposal is materially false or misleading, including by impugning the integ...
1/19/2018 | Content area: Investment Adviser
We need to ask if our rule set has kept pace. For example, increasingly, a second layer of separation between ownership and control has opened betwee...
1/16/2018 | Content area: Investment Adviser
A peer shares the RIA's compliance manual, complete with numerous P&Ps.


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