Proxy Voting

A peer's checklist for use by compliance staff to assess if a proxy vote would run into a conflict with the firm. This includes procedures ...

A peer shares the RIA's compliance manual, complete with numerous P&Ps

"I am now directing the staff to consider whether to recommend further regulatory action regarding proxy voting advice"

"We find it difficult, however, to imagine what has changed in the roughly ten months since the Commission last considered this issue that would call ...

The staff will not recommend any enforcement action based on those conditions for a reasonable period of time after any resumption by Institutional Shareholder Services ...

IAs caught between C-suite, shareholders

The Division of Examinations’ new ESG risk alert “needs some context,” Commissioner Hester Peirce says in a new statement of her own. Peirce says she ...

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...

"Fiduciaries should be mindful of these competing concerns so as not to risk undermining the foundation of how shareholders engage with corporate management .... I ...

Pension plan fiduciaries don’t have to cast every one of their clients’ proxy votes but whatever decision they make must be made “prudently and solely ...