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Clifford Chance

Clifford Chance

Briefings

SEC Issues Regulatory Guidance on Proxy Voting Responsibilities and Proxy Advisory Firms

11 July 2014

On June 30, 2014,  the Staff of the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued regulatory guidance regarding the responsibilities of registered investment advisers or investment advisers required to be registered with the Commission in voting client proxies and retaining proxy advisory firms, and on exemptions to the federal proxy rules that are often relied upon by proxy advisory firms.

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