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Proxy Voting by Investment Advisers

SEC · final-rule · Published 2003-02-07 · Effective 2003-03-10 · 68 FR 6585

Document

Document number
03-2952
Federal Register citation
68 FR 6585
CFR reference
17 CFR 275
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2003-02-07
Effective date
2003-03-10
Docket
Release No. IA-2106

Abstract

The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940 that address an investment adviser's fiduciary obligation to its clients when the adviser has authority to vote their proxies. The new rule requires an investment adviser that exercises voting authority over client proxies to adopt policies and procedures reasonably designed to ensure that the adviser votes proxies in the best interests of clients, to disclose to clients information about those policies and procedures, and to disclose to clients how they may obtain information on how the adviser has voted their proxies. The rule amendments also require advisers to maintain certain records relating to proxy voting. The rule and rule amendments are designed to ensure that advisers vote proxies in the best interest of their clients and provide clients with information about how their proxies are voted.

Source

Authoritative
Federal Register document
Machine
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