2019 Was Big for the SEC. 2020 Will Be Huge.
In addition to the ambitious Regulation Best Interest package, the securities and market regulator is making significant changes to the proxy voting landscape and its rules for adviser advertising.
Tag: proxy voting
DOL and SEC Weigh New Proxy Voting Standards
Both the Department of Labor and the Securities and Exchange Commission are revisiting their proxy voting rules, creating an opportunity for greater regulatory alignment.
Compliance Consult
Compliance
SEC Issues Proxy Guidance
Noted are proxy voting duties and rules for advisers.
SEC Shakes Up the Proxy Voting Landscape
The Investment Adviser Association says the SEC’s proxy voting guidance will increase costs for advisers and also increase barriers to entry for proxy advisory firms.