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Segal Marco Advisors

Service Providers Framework 2019

You are in Active Ownership Services » Voting


AOS 11. ESG in voting recommendations (Private)

AOS 12. Raising concerns with companies ahead of voting (Private)

AOS 13. Voting against management

13.1. Indicate the proportion of votes where you have communicated the rationale to companies when you, on behalf of your clients, abstain or vote against management proposals.

13.3. Additional information [OPTIONAL]


AOS 14. Monitoring voting outcomes

14.1. Describe how you monitor voting outcomes.

          We pull data available through the SEC's Edgar platform to assess voting outcomes.

14.2. Describe how you typically decide what recommendations for next steps to give to clients.

14.3. Additional information [OPTIONAL]

AOS 15. Mechanisms for clients to review voting recommendations

15.1. Indicate whether you have formal mechanisms in place for clients to review your voting recommendations.

15.2. Describe the formal mechanisms you have in place if clients wish to review your voting recommendation and/or give voting instructions different from your recommendations.

We review and upate the policy annual. We provide the updated policy annual to clients and meet with many of them to discuss it. 

15.3. Additional information [OPTIONAL]

AOS 16. Involvement in projects to improve voting trail and obtaining confirmation

16.1. Describe your involvement in any project to improve the voting trail and/or to obtain vote confirmation for your clients.

16.2. Additional information [OPTIONAL]

We have not had any issues with vote confirmation.