A multi-jurisdictional study of proxy voting by retail investors, with specific reference to their interest in Responsible Investing


Academic Profile

Ian is a part-time DPhil Candidate through Oxford's Department of Continuing Education. He holds graduate degrees from Carleton and Dalhousie Universities and undergraduate degrees from the University of British Columbia, as well as a post-graduate diploma from Oxford. He holds the CFA designation and is a longstanding leader and volunteer within the CFA community. He is also a board member of the Responsible Investment Association (Canada), and has worked in the investment industry for over twenty years.

Responsible Investment - the incorporation of Environmental, Social and Governance (ESG) factors into the selection of stock and the voting of proxies - is increasingly incorporated into institutional investors' mandates. Retail investors have the same opportunity to vote their proxies, but their participation rate is far lower. Ian's thesis will analyze retail investors' interest in Responsible Investment and their proxy voting practices. It will compare results across multiple countries, categorized by their civil or common law heritage, and will further compare results amongst investment channels: discount brokerage, full service brokerage, and portfolio managed accounts.