Proxy voting: the rules and industry reaction

Abstract

In recent action, the Securities and Exchange Commission adopted rules requiring SEC‐registered investment advisers (“investment advisers” or “advisers”) and registered management investment companies (“investment companies” or “mutual funds”) to adopt and disclose the policies and procedures they use to vote proxies relating to portfolio securities. In addition, investment advisers must disclose to clients how they can obtain information from the adviser on how their securities were voted and registered. Management investment companies must file with the Commission and make available to fund shareholders the specific proxy votes they cast.

Citation

Hulick, V.P. (2003), "Proxy voting: the rules and industry reaction", Journal of Investment Compliance, Vol. 3 No. 4, pp. 31-35. https://doi.org/10.1108/joic.2003.3.4.31