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Proxy Voting

Two specific disclosures about the use of automated voting are encouraged in the new guidance
"we believe that an investment adviser that uses automated voting should consider disclosing" these two things
"We have declined to adopt such a prescriptive approach at this time, but rather have focused on an incremental principles-based approach in order to see ...
Proxy Voting
A peer has shared a copy of the firm's proxy voting guidelines
Republican SEC Commissioners have approved new rules that define proxy advisors as “solicitors” and voted in favor of issuing new guidance warning investment advisers to ...
Republican SEC Commissioners on July 22 approved new guidance that warns investment advisers to consider targeted companies’ responses to proxy advisor analyses before casting their ...
Republican SEC Commissioners on July 22 approved the first-of-their-kind rules for proxy advisors. Among other things, it defines proxy advice as “solicitation” under Sec. 14(a) ...
"Today’s recommendations will help ensure that the interests of Main Street investors and the obligations of those who vote on their behalf will not only ...
"The guidance instructs investment advisers to consider any issuer response to proxy voting advice prior to exercising voting authority. But how long must investment advisers wait to ...
Hester Peirce
"Today’s supplemental guidance, while focused on investment advisers’ consideration of additional information generated by today’s amendments, underscores that investment advisers must use voting advice they ...
Elad Roisman
"The transparency afforded by these amendments should make it easier for such clients who are investment advisers to conduct due diligence and oversight of these ...
The SEC will consider proxy voting advice amendments and new guidance addressing investment advisers’ responsibilities at its July 22 open meeting, the Commission has announced. ...
Pension managers and advisers would not be allowed put their clients’ money in sustainable investments if the ethical goals of the investments lower returns or ...
Looking to identify IAs who outsource voting decisions
Contact the Commission with guidance or relief requests
Elad Roisman
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. ...
Elad Roisman
Institutional investors and asset managers are not the only investors that the SEC is charged to protect
Proxy Voting
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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