Proxy Voting

Under federal law, an investment adviser is a fiduciary.104 With respect to securities lending, advisers have a fiduciary duty to consider the tradeoffs between continuing ...

Should this latest proposal be finalized, institutional managers would, for the first time, face this same mandate but only for say-on-pay

The second part of this proposal is to bring greater consistency, transparency, and usability of Form N-PX. This would allow investors to more easily understand ...

At the risk of apostasy, I posit that proxy voting is not the most important activity in which a fund engages.  Although a fund’s voting ...

It is true that funds have come to own a huge percentage of U.S. corporate equities and can influence the outcome of a variety of ...

The proposal would introduce several important new features to enhance voting disclosure, including requirements for funds and managers to standardize the description of matters voted ...

Form N-PX amendments and exec comp disclosures are addressed in the proposals

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"