Search for: "Lene Powell"
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23 May 2024, 7:11 am
By Lene Powell, J.D.The Intercontinental Exchange, Inc. [read post]
22 May 2024, 6:34 am
By Lene Powell, J.D.While artificial intelligence offers dazzling new capabilities for financial market participants, AI also raises concerns about opaque “black box” technology and potential market volatility, fraud, and manipulation.In a new Vital Briefing, Wolters Kluwer Senior Legal Analyst Lene Powell details CFTC actions to build an AI governance framework as it looks to address risks while avoiding heavy-handed regulation.Read the full briefing… [read post]
16 May 2024, 7:55 am
By Lene Powell, J.D.A healthy “tone at the top” is crucial for public accounting firms in maintaining culture, professional skepticism, quality control systems, and public responsibility as gatekeepers of U.S. capital markets, SEC Chief Accountant Paul Munter said in a new statement. [read post]
15 May 2024, 5:58 am
By Lene Powell, J.D.To boost efforts against money laundering and terrorist financing, the SEC and FinCEN jointly proposed a new rule requiring certain investment advisers to have customer identification programs (CIPs). [read post]
2 May 2024, 7:32 am
By Lene Powell, J.D.Accelerated use of “black box” artificial intelligence in financial markets could cause oversight challenges and market volatility, consumer groups warned in a comment letter to the CFTC. [read post]
17 Apr 2024, 6:29 am
By Lene Powell, J.D.In its April 12 decision in Macquarie Infrastructure Corp. v. [read post]
15 Apr 2024, 7:25 am
By Lene Powell, J.D.In a unanimous opinion, the Supreme Court ruled that absent a misleading statement, pure omissions are not actionable as securities fraud under Rule 10b–5(b). [read post]
10 Apr 2024, 7:02 am
By Lene Powell, J.D.In the SEC’s big jury trial win against Terraform Labs PTE Ltd. and its former CEO, Do Kwon, the jury found that false or misleading statements were reckless or intentional, happened "in the offer or sale" of crypto tokens, and were distributed via the mails or an instrumentality of interstate commerce. [read post]
13 Mar 2024, 8:56 am
By Lene Powell, J.D.The SEC is “pursuing a power grab” over the crypto industry by engaging in enforcement while foregoing rulemaking, crypto giant Coinbase told the Third Circuit. [read post]
12 Mar 2024, 6:28 am
By Lene Powell, J.D.The SEC Investor Advisory Committee (IAC) adopted a recommendation for the SEC to scale back proposed rules on digital engagement practices. [read post]
27 Feb 2024, 5:56 am
”A new Vital Briefing by Senior Legal Analyst Lene Powell, J.D. covers:What is GenAI? [read post]
9 Feb 2024, 5:25 am
By Lene Powell, J.D.In a new court filing, ExxonMobil argues the withdrawal of a shareholder proposal on greenhouse gas emissions does not moot its claim for declaratory relief. [read post]
6 Feb 2024, 7:12 am
By Lene Powell, J.D.A group of U.S. lawmakers pressed Congressional decisionmakers to eliminate legislative riders that would block federal funds in broad ways relating to environmental, social, and governance (ESG) issues. [read post]
18 Jan 2024, 6:38 am
By Lene Powell, J.D.The U.S. [read post]
3 Jan 2024, 8:21 am
By Lene Powell, J.D.Crypto firm Terraform Labs and its founder Do Kwon sold unregistered securities, a federal district court ruled. [read post]
18 Dec 2023, 5:36 am
By Lene Powell, J.D.The Commodity Futures Trading Commission has proposed amendments to CFTC regulations regarding real-time public reporting and swap data recordkeeping and reporting. [read post]
15 Dec 2023, 7:21 am
By Lene Powell, J.D.Corporate counsel are navigating new challenges to diversity, equity, and inclusion (DEI) programs. [read post]
17 Nov 2023, 5:54 am
By Lene Powell, J.D.Institutional investors representing over $10 trillion in assets under management or advice called on the 50 largest stock-listed chemical companies to phase out PFAS chemicals, citing a “flood” of litigation, insurance risks, and costs running into the hundreds of billions. [read post]
9 Nov 2023, 8:00 am
By Lene Powell, J.D.In a new filing, the SEC defended its enforcement action against crypto giant Binance, outlining fundamental registration failures and a secret scheme to evade the law. [read post]
7 Nov 2023, 9:54 am
By Lene Powell, J.D.A new BlackRock report discovered significant financial benefits for companies with robust gender diversity. [read post]
