SEC Clarifies RIAs' Proxy Voting Responsibilities

SEC Clarifies Investment Advisers' Proxy Voting Responsibilities ...

The Securities and Exchange Commission today provided guidance to assist investment advisers in fulfilling their proxy voting responsibilities.

SEC Clarifies RIAs' Proxy Voting Responsibilities - ACA Group

The SEC's guidance makes it clear that RIAs are permitted to establish a variety of different proxy voting arrangements with clients.

Proxy Voting by Investment Advisers - SEC.gov

In most cases, clients give these advisers authority to vote proxies relating to equity securities. This enormous voting power gives advisers significant ...

SEC Issues Guidance to Investment Advisers on Proxy Voting

As part of its fiduciary duty to its clients, an RIA who accepts the responsibility to vote proxies on behalf of its clients must make the determination that a ...

SEC Issues Regulatory Guidance on Proxy Voting Responsibilities ...

The guidance clarifies that an RIA is not required to vote every proxy on its client's behalf and that an RIA and its client have flexibility in determining the ...

SEC Publishes New Guidance on Investment Advisers' Proxy Voting ...

The Investment Advisers Release provides guidance to investment advisers about their proxy voting responsibilities, especially when relying on proxy advisors.

SEC Publishes New Guidance for SEC-Registered Advisers on ...

This latest release aims to clarify an adviser's obligations arising under Advisers Act Rule 206(4)-6 (“the Proxy Rule”) relating to voting ...

SEC Provides Guidance Relating to the Proxy Voting Process

In 2003, the SEC adopted. Rule 206(4)-6 under the Advisers Act relating to the proxy voting responsibilities of registered investment advisers. (Proxy Voting ...

SEC Issues Guidance to Clarify Investment Advisers' Proxy Voting ...

The IA Release's response to this question elaborates upon requirements that are part of an adviser's fiduciary duty when it exercises proxy ...

SEC Adopts Amendments to Proxy Rules Governing Proxy Voting ...

Although the 2020 changes were intended to clarify the application of this liability provision to proxy voting advice, they instead created a ...

SEC Adopts Final Rule Requiring Additional Proxy Voting Disclosures

On 2 November 2022, the SEC adopt a final rule and form amendments that would require additional disclosure on Form N-PX about a registered ...

Fiduciary Duties Regarding Proxy Voting and Shareholder Rights

However, the Department also reiterated its view that ERISA does not permit fiduciaries, in voting proxies or exercising other shareholder ...

SEC Clarifies Investment Advisers' Proxy Voting Responsibilities ...

On August 21, the Securities and Exchange Commission issued guidance to clarify investment advisers' fiduciary obligations when voting ...

Proxy Voting Responsibilities of Investment Advisers and Availability ...

Summary: The Division of Investment Management is providing guidance about investment advisers' responsibilities in voting client proxies and ...

Foreside Insights Blog | RIA (3) - ACA Group

Massachusetts – New Fee Disclosure Requirements for Investment Advisers · SEC Clarifies RIAs' Proxy Voting Responsibilities · SEC's Supervision Initiative Reveals ...

Exemptions From the Proxy Rules for Proxy Voting Advice

In recent years, registrants, investors, and others have expressed concerns about the role of proxy voting advice businesses. These concerns ...

SEC Further Clarifies Proxy Voting Responsibilities of Investment ...

The Securities and Exchange Commission (SEC) recently issued additional guidance to investment advisers pertaining to proxy voting, ...

Proxy Advisory Firms' Role in Voting and Corporate Governance ...

According to SEC, it also has continued to address concerns surrounding proxy advisory firms through its examinations of investment advisers and ...

Commission Interpretation Regarding Standard of Conduct for ...

... duty when voting proxies. See also. Restatement ... clarifies the Commission's intent that it capture the fiduciary duty described in SEC v.

SEC Adopts Final Rule Amending Proxy Voting Reporting ...

The proxy card requirements otherwise remain the same, requiring that a brief identification of the proxy voting matter voted on be provided.