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.
Lee said that while she broadly supports the agency’s proposed modernization of the Advertising Rule, she is concerned that some elements of the proposal may be too vague and could lead to uncertainty among compliance professionals.
The report discusses three policy areas of strong interest to investment advisers – regulation of proxy advisory firms, Form CRS, and the Commission’s Interpretation of the “solely incidental” exclusion from the Advisers Act for broker-dealers.
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