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How Can Current Proxy Voting Initiatives Be Turned Into a Competitive Advantage?

Securities Operations Forum

Swingvote
Diana Bourke, President & COO

Runtime: 5:37

Key Takeaways:

  1. Current Proxy Voting Initiatives:
    • Proxy Working Group: Proposed elimination of broker discretionary vote (10 day rule)
    • SIFMA: Issued best practices for proportional voting of broker discretionary voting
    • SEC: Published Rule S7-10-05, Notice and Access Rule (eProxy)
    • SEC: No decision on changes to shareholder access to the ballot
    • SWIFT: Completed pilot for the ISO 20022 Proxy Transaction Set
  2. To Turn These Current Proxy Voting Initiatives Into a Competitive Advantage:
    • Prioritize investments in technology
    • Adopt a strategic partnership approach for non-core activities
    • Commit to an open technology and content architecture
    • Work with industry associations and be actively involved in their implementation approach
    • Provide educational information to employees and clients

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