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SEC Staff Releases Guidance on Proxy Voting Responsibilities of Investment Advisers and Proxy Advisory Firms
Winston & Strawn LLP, via Lexology; free registration required [Guidance Overview] July 7, 2014 "[SEC Staff Legal Bulletin No. 20 (IM/CF)] sets forth specific things that an investment adviser should ascertain when considering whether to retain or continue retaining any particular proxy advisory firm to provide proxy voting recommendations.... If a proxy advisory firm only distributes reports containing recommendations, it will be able to rely on the exemption from the information and filing requirements of the federal proxy rules in Rule 14a-2(b)(1)[.]" |
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