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8 Nov 2021, 6:42 am
By Lene Powell, J.D.Sharing insights honed by past leadership in the SEC Enforcement Division, prominent members of the SEC defense bar discussed the agency’s assertive enforcement under SEC Chair Gary Gensler and Enforcement Director Gurbir Grewal. [read post]
15 Jul 2011, 2:43 pm
” The email was signed “Gary Gensler”, but originated from Singapore, where McCrudden was living at the time.The defendant has a checkered regulatory history. [read post]
10 May 2021, 2:59 pm
On April 14, Gary Gensler was confirmed as the new Chair of the SEC. [read post]
23 Apr 2021, 2:06 pm
Furthermore, Gary Gensler was confirmed as the new Chair of the SEC on April 14. [read post]
15 Apr 2021, 12:30 pm
Former Commodities Futures Trading Commission Chairman Gary Gensler was confirmed to serve as the Chair of the SEC on April 14. [read post]
7 Oct 2021, 3:15 am
We’ve blogged about the HFCAA a few times – including back in March, when the SEC adopted interim final rules, and in late summer, when SEC Chair Gary Gensler talked about additional disclosure requirements for China-based companies. [read post]
8 Mar 2022, 9:02 pm
SEC Chair Gary Gensler didn’t arrive until mid-April, and Enforcement Director Gurbir Greewal wasn’t appointed until June. [read post]
27 Oct 2022, 7:47 am
SEC Chair Gary Gensler believes these rules will “better protect investors by requiring that investment advisers take steps to continue to meet their fiduciary and other legal obligations regardless of whether they are providing services in-house or through outsourcing, whether through third parties or affiliates. [read post]
18 Apr 2023, 6:30 am
Securities and Exchange Commission (SEC) Chair Gary Gensler issued a statement on March 12, 2023 that the SEC was “particularly focused on monitoring for market stability and identifying and prosecuting any form of misconduct that might threaten investors, capital formation, or the markets more broadly. [read post]
14 Jun 2012, 9:30 pm
The Commodity Futures Trading Commission (CFTC) may delay some derivatives rules for foreign banks according to chairperson Gary Gensler. [read post]
21 Oct 2011, 11:09 am
CFTC Chairman Gary Gensler in a statement said that Wetjen was Reid's "point person in bringing the Dodd-Frank Act through the Senate. [read post]
27 Dec 2021, 8:00 am
While the total number of enforcement actions – including new actions along with other “follow-on” or open proceedings – decreased slightly year over year in FY 2021, the SEC remained committed to its role as “cop on the beat for America’s securities laws,” as described by Chair Gary Gensler. [1] The SEC maintained a sharp focus on protecting the integrity of the country’s capital markets through enforcement actions against bad… [read post]
2 Jan 2022, 7:44 am
The Tone at the Top The highest profile statement on advisory fees came from SEC Chairman Gary Gensler, who, in recent remarks at the Institutional Limited Partners Association Summit, [1] asserted that fees in the registered funds space have come down considerably since his time on Wall Street, while those in the private funds space have not dropped to the same degree—even as aggregate private fund assets have increased. [read post]
23 Oct 2012, 8:35 am
“With this interpretive guidance, the Commission has taken another important step to ensure appropriate access to SDRs by foreign regulatory authorities consistent with the provisions of the Dodd-Frank Act,” said a statement issued by CFTC chairman Gary Gensler, who supported the rule. [read post]
7 Jul 2011, 11:18 am
” According to Chairman Gary Gensler, the stricter rule “closes a significant gap, as it will broaden the types of cases we can pursue and improve the chances of prevailing over wrongdoers. [read post]
12 Oct 2011, 6:57 am
Rodgin Cohen (‘68), James Copland, Steven Davidoff, Gary Gensler, Amy Goodman, Holly Gregory, Joseph Grundfest, Edward Herlihy, Brad Karp (’84), Arthur Kohn, Martin Lipton, Jay W. [read post]
14 Feb 2011, 2:18 pm
The Coalition for Derivatives End-Users believes that the Dodd-Frank Act does not provide regulators with the authority to impose margin on end-users.While CFTC Chairman Gary Gensler has indicated that his intent is not to impose margin directly on non-financial end-users, the Coalition remains concerned that the CFTC and other prudential regulators might attempt to impose margin indirectly on end-users, through counterparties or otherwise. [read post]
23 May 2022, 5:45 pm
“Allianz Global Investors admitted to defrauding investors over multiple years, concealing losses and downside risks of a complex strategy, and failing to implement key risk controls,” said SEC Chair Gary Gensler. [read post]
31 May 2012, 10:37 am
“In adopting the Volcker rule, Congress prohibited banking entities from proprietary trading while at the same time permitting banking entities to engage in certain activities, such as market making and risk mitigating hedging,” CFTC Chairman Gary Gensler said. [read post]
13 Sep 2011, 5:00 am
Gary Gensler, Chairman of the CFTC, says that “until the CFTC completes its rule-writing process and implements and enforces these new rules, the public remains unprotected. [read post]
