IAA Today Archive

SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...

January 13, 2021

Keywords: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate

Categories & Topics: Business Ops/HR, Compliance, Form ADV & CRS, Private Funds, Proxy Voting, Reporting, Senior Client Matters

SEC Adopts New Rules for Proxy Advisory Firms, Additional Guidance for Advisers Voting Proxies for Clients

Updated September 3, 2020 New, supplemental SEC guidance regarding the proxy voting responsibilities of investment advisers took effect on September 3, when it was published in the Federal Register –...

September 03, 2020

Keywords: Proxy, Proxy Advisory Firms

Categories & Topics: Business Ops/HR, Proxy Voting

At IAA Conference, SEC’s Lee Expresses Advertising Rule Concerns, Criticizes Proxy Proposals as “Opposite of Investor Empowerment”

Watch the Video In her keynote address at the IAA’s 2020 Investment Adviser Compliance Conference in Washington, DC, SEC Commissioner Allison Herren Lee said that while she broadly supports the...

March 09, 2020

Keywords: Advertising Rule, Allison Herren Lee, Compliance Conference, Proxy Advisory Firms, Proxy Rule

Categories & Topics: Advertising, Business Ops/HR, Compliance, Proxy Voting

SEC Investor Advisory Committee: Revise, Republish Proxy Proposals

The SEC’s Investor Advisory Committee (IAC) responded strongly to the SEC’s proposals regarding proxy voting advice and shareholder proposals. In a 10-5 vote, with two abstentions, the IAC made the...

February 10, 2020

Keywords: Proxy, Proxy Advisory Firms

Categories & Topics: Business Ops/HR, Proxy Voting

New Report by SEC’s Investor Advocate Raises Concerns About Proxy Advisory Firms, Form CRS, Commission’s “Solely Incidental” Interpretation

Rick Flemming SEC Investor Advocate The SEC’s Office of the Investor Advocate’s just-released 2019 Report on Activities discusses work on key policy areas, highlights problematic investment products and practices,...

December 29, 2019

Keywords: Form CRS, Proxy Advisory Firms, Rick Fleming, SEC Investor Advocate

Categories & Topics: Business Ops/HR, Proxy Voting

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