The Investment Company Institute is calling on the SEC to “save millions of dollars for registered fund shareholders” by making significant reforms to the fund proxy voting process. Those reforms in its proposal advocate what it termed a “supermajority option,” under which funds could achieve majority votes for specified items through a combination of lowering the percentage needed for a quorum while raising the percentage required to approve certain items.
January 13, 2020
Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
Get solutions for the top marketing challenges that advisers face from ACA Compliance Group managing director Kimberly Daly
ACA Aponix Director Pascal Busnel on the most common cybersecurity myths that may cause firms to spend resources where they may not be needed.
Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.
Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.
Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.