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Rio Tinto : AGM 2021 - Notice of Meeting


2021 Notice of annual general meeting
The annual general meeting of Rio Tinto plc will be held at 11:00am on Friday, 9 April 2021 at 6 St James s Square, London, SW1Y 4AD.
Due to the UK government restrictions on public gatherings to contain the COVID-19 pandemic, and mindful of public health concerns, shareholders will not be permitted to attend the annual general meeting in person. Shareholders can instead participate in the annual general meeting virtually via a live webcast, where they will be able to vote and ask questions. Details of how to attend virtually can be found on pages 12-13.
To vote ahead of the annual general meeting, please complete and submit a proxy form in line with the instructions set out in this notice. ....

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Modernized SEC Marketing Rule for Investment Advisers


Wednesday, January 20, 2021
On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Advisers Act) to modernize the regulation of investment adviser advertising and solicitation practices.
1 Rule 206(4)-1 was the SEC’s first antifraud rule governing the activities of investment advisers, and in many respects, it remains the most important. This action represents the first substantive amendments to the rule since its adoption in 1961 and will have vast implications for the compliance and business practices of nearly every investment adviser in the United States.
Citing the need to address evolving marketing practices in light of advancements in technology and changes within the asset management industry, the SEC elected to replace the current versions of Rule 206(4)-1 (the advertising rule) and Rule 206(4)-3 (the solicitation rule) with a single ....

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