Wednesday, October 13, 2021

SEC Expands Investment Company Proxy Disclosures

New Light on Funds' Securities Lending versus Proxy Voting

Author: David Schwartz J.D. CPA

On September 29, 2021, the Securities and Exchange Commission issued a proposal to expand investment company disclosures of their proxy voting activities. If adopted, the rules would enhance the information mutual funds, exchange-traded funds, and other regulated investment companies are required to report on Form N-PX under the Investment Company Act. These expanded disclosures are intended to make proxy voting decisions made by investment company advisers more complete, accessible, and understandable to investors. 

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Categories: All, Disclosure Regimes, Cross-Post

Tags: Proxy Voting, dodd-frank, SEC, Empty Voting, Say on Pay, proxy, Corporate Governance, ESG

Saturday, March 24, 2012

Proxy Season 2012 Issues & Resources

Author: David Schwartz J.D. CPA
With all the legislative changes, additional required disclosures, say on pay and corporate governance issues percolating in the background, investors, companies, and investment managers are faced with a challenging 2012 proxy season. Today we alert you to two issues involving proxy advisory services and point you to a resource for navigating the 2012 proxy season.
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Categories: All, Formal Regulatory Remedies

Tags: proxy, ISS

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