Proxy Voting Responsibilities

The Division of Investment Management and the Division of Corporation Finance issued a joint Staff Legal Bulletin on June 30, 2014. The Bulletin provides guidance about investment advisers’ responsibilities in voting client proxies and retaining proxy advisory firms. It also … Read More ›

SEC Request List w/ Updated Trade Blotter Request

Examination Information Request List An recent SEC request letter lists 13 items to be provided initially to the SEC, several of which are comprehensive. For example: The list of current advisory clients, indicating those that are wrap clients, includes 15 separate pieces … Read More ›