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Proxy voting/Class actions

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Proxy voting service

A service which entails identification of all corporate governance events, obtaining the associated information (eg. an agenda for an Annual General Meeting or Extraordinary General Meeting, Annual and other Company Reports, the terms of resolutions submitted for shareholder approval, voting ballots and proxy advices), translating the information if necessary and disseminating it to the client. For events which may be voted on, the service provider reports to the client the response deadline and captures the client's decision in good time.


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Integration with voting agencies

Some clients use third party firms for proxy voting services. The service provider's operations are integrated with those of leading proxy voting agencies, for automated communication of announcements, instructions and results.


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Online announcements

Clients are provided with a direct link to the service provider's systems to view all scheduled corporate governance events.


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Power of attorney solicitation

Provision of appropriate documentation and managing its completion.


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Power of attorney monitoring

Conducting a timely review of the completeness of documentation for changing circumstances, including extension into new countries of investment.


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Online instructions

Clients are provided with a direct link to the service provider's systems to record (and amend) their decisions.


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Standing instructions

The service provider allows clients to set certain standing instructions and acts on these standing instructions in the absence of variation by the client.


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Online results

Clients are provided with a direct link to the service provider's systems to view the results of votes.


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Class actions: notification

The service provider, holding assets for its clients in nominee names, has an information and reporting system to identify a class action which is proposed or initiated and notifies its clients accordingly. There are occasions when investors have cause to launch a 'class action' (where a number of investors join together in launching a legal prosecution against a company and perhaps its directors). An example is when securities fraud (perhaps accounting irregularities) is alleged. Investors will wish to be recompensed for any loss suffered. Certain classes of investor, such as pension plans, will have a fiduciary duty to their participants to press the companies in which they invest to deliver shareholder value.


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Class actions: proactive stance

The service provider acts on behalf of its clients, communicating with the key parties in the process leading up to a prosecution being initiated and communicating during the legal process.


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Class actions: claims

The service provider claims its client's share of a settlement arising from a class action. Where several of its clients are funding legal fees, the service provider co-ordinates payment of the share of costs attributable to its clients.


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