Archive Of The Category ‘SEC IM Guidance‘

New SEC Disclosure Form

New SEC Disclosure Form

03 January 2020

Have you heard? There is a new form in town. It goes by many names…it is referred to as the Client Relationship Form, Form CRS, or even ADV Part 3. The intent of this new form is to provide your Retail Investors with the information needed for them to make an educated decision about whetherRead More »

SEC Proxy Voting Guidance

SEC Proxy Voting Guidance

27 November 2019

After years of research, OCIE exam findings, and roundtable discussions, the SEC has issued guidance on proxy voting in the form of a Question and Response (“Q&R”). You can find the Q&R guidance here. The responsibilities of proxy voting can be an administrative burden for investment advisors, which is why many have chosen a third-partyRead More »