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Morrow Sodali Fund Solutions has deep experience with the governance of ETFs understanding the challenges that different ETF beneficial holders (market makers, Authorized Participants (APs), foreign institutions) present to successfully completing a proxy campaign.


ETFs operate very similarly to mutual funds from a governance perspective, but the shareholder profile and strategy for proxy solicitation can be very different. ETFs often have more institutional shareholders than mutual funds, as the exchange-traded nature of the products allows institutions to enter and exit the funds quickly. The market makers and other firms that trade ETFs are also beneficial shareholders and need a specialized plan for solicitation. In addition, ETFs are frequently cross-listed outside the U.S., and strategies for approaching these global institutions are unique.

Morrow Sodali Fund Solutions understands and has direct experience with analyzing and soliciting different ETF shareholders. Again, the key is conducting in depth analysis on the ETF shareholder base and selecting the fund-appropriate approach based on that fund’s precise shareholder composition.

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