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Proxy Voting
Looking to identify IAs who outsource voting decisions
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To the extent any of these market participants are registered investment advisers under the SEC’s jurisdiction, I believe it is important that we identify any ...
SEC Chairman Jay Clayton has told advocates that he is open to shortening the seven-day delay written into a proposed proxy advisor rule (RCW, Nov. ...
Institutional investors and asset managers are not the only investors that the SEC is charged to protect
The proposed amendments would codify the Commission’s interpretation that proxy voting advice generally constitutes a solicitation
A divided SEC has approved a pair of rulemaking notices that, while aimed at proxy advisors and activist shareholders, has a great many investment advisers ...
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The authority to vote the clients’ proxies was not sought
In two separate instances in 2015, Three Bridge, a registered investment adviser, voted proxies with respect to client securities held in dozens of client accounts, ...
In two separate instances in 2015, Amadeus, a registered investment adviser, voted proxies with respect to client securities held in a total of 20 client ...
When a split SEC approved new guidance on proxy voting for investment advisers, backers said it would bring much-needed clarity in an increasingly complex field. ...
Investment advisers will have to conduct annual reviews of their proxy voting programs under new guidance approved by a split SEC Aug. 21. The ...
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing guidance regarding the proxy voting responsibilities of investment advisers under Rule 206(4)-6 under ...
The Securities and Exchange Commission (the “SEC” or the “Commission”) is providing an interpretation and related guidance regarding the applicability of certain rules, which the ...
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-all approach when ...
Given the influential role of proxy advisors, companies started to realize that they needed to pay attention to proxy advisors’ recommendations. For example, up to ...
The SEC’s Director of the Division of Investment Management Dalia Blass has signaled that developments on improvements to the proxy advisory process can be expected ...
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 SEC ...
Important Issues for Investors in 2019 Rick Fleming, SEC Investor Advocate The SEC Speaks in 2019 Washington D.C. April 8, 2019 Good afternoon. I hope ...
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