Mitigating 13D/G and N-PX filing risk in light of the SEC's exam 2026 priorities
The U.S. Securities and Exchange Commission (SEC) has signalled a clear shift in its Fiscal Year 2026 Examination Priorities: its scrutiny of Investment Advisers' Compliance Programs will be surgical, focusing on areas where basic, preventable errors persist.
Read moreThe hidden complexity of Form N-PX: lessons from 2024’s first year under new rules
The SEC’s new Form N-PX rules revealed unexpected operational, technical, and governance challenges for investment managers in 2024. In this blog, Paul Chung outlines key lessons and urges firms to prioritise data quality, XML automation, and strategic oversight ahead of the August deadline.
Read moreEnhancing Proxy Voting Transparency: SEC's Amendments to Form N-PX
The Securities and Exchange Commission (SEC) has taken a significant step towards bolstering proxy voting transparency by adopting rule and form amendments to Form N-PX. These changes aim to standardize mutual fund proxy voting disclosures, providing investors with a clearer and more accessible view of voting records.
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