Thompson Hine is pleased to share with you the latest episode of Market Matters, our podcast series that explores legal and regulatory issues affecting the investment management industry. In this episode, Mike Wible, a partner in our Investment Management practice, and Nathan Holmes, a partner in our Tax and Employee Benefits & Executive Compensation practices, discuss proposed amendments to the proxy rules that would more substantively regulate proxy advisory firms. Topics discussed include:

  • The proposed codification of the SEC’s interpretation that proxy voting advice is a “solicitation” under the proxy rules
  • Additional disclosure and notice requirements that would apply to proxy voting advisers
  • The application of anti-fraud rules to proxy voting advisers

Please click here to listen to the audio.