From the May 2007 issue of Investment Advisor • Subscribe!

The U.S. Court of Appeals Decision

More On Legal & Compliance

from The Advisor's Professional Library
  • Proxy Voting RIAs are not required to vote proxies on behalf of their clients. However, when an RIA does assume responsibility for voting proxies, the firm’s policies and procedures should help to ensure that votes are cast in the best interest of clients.
  • Do’s and Don’ts of Advisory Contracts In preparation for a compliance exam, securities regulators typically will ask to see copies of an RIAs advisory agreements. An RIA must be able to produce requested contracts and the contracts must comply with applicable SEC or state rules.
Download a PDF of the U.S. Court of Appeals for the District of Columbia Circuit's ruling.
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