The Director of the Securities Exchange Commission (“SEC”) Division of Investment Management (the “Director”) gave remarks this month regarding registered investment advisers (“RIAs”) and their proxy ...
It’s proxy-voting season, when shareholders get to vote on issues affecting a company’s risks and its place in the world. You can read a primer about proxy voting here. This year, the current US ...
Rule 206(4)-6 under the Investment Advisers Act requires a registered investment adviser with proxy voting authority to adopt policies and procedures reasonably designed to ensure that proxies are ...
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