Search for: "Lene Powell"
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19 Sep 2017, 8:03 am
By Lene Powell, J.D.To reduce cross-border regulatory conflict and duplication, the International Swaps and Derivatives Association, Inc. [read post]
Senator Kennedy introduces bill to require SPACs to better explain sponsor compensation to investors
5 May 2021, 8:24 am
By Lene Powell, J.D.As the spike in SPAC offerings continues, a new bill introduced by Sen. [read post]
17 Dec 2015, 8:36 am
By Lene Powell, J.D.The CFTC proposed new rules to increase system safeguards for critical infrastructure including derivatives exchanges, swap execution facilities, clearinghouses, and swap data repositories. [read post]
6 Sep 2023, 5:03 am
By Lene Powell, J.D.Jurisdictions outside the E.U. are looking at ways to introduce new standards on sustainability disclosures, including Australia, Japan, Singapore and the UK, said Sue Lloyd, vice-chair of the International Sustainability Standards Board, in recent remarks at a banking conference in Germany. [read post]
5 Oct 2022, 6:15 am
By Lene Powell, J.D.Derivatives industry association FIA urged the CFTC to issue “relevant, practical guidance” on what event contracts are permissible under the Commodity Exchange Act. [read post]
2 Oct 2023, 6:13 am
By Lene Powell, J.D.The SEC is proposing amendments to rules and Form N-4 to enhance the registration, disclosure, and advertising framework for registered index-linked annuities (RILAs). [read post]
14 Mar 2023, 8:19 am
By Lene Powell, J.D.New York Attorney General Letitia James has filed an enforcement action in New York state court seeking to stop cryptocurrency trading platform KuCoin from operating in New York. [read post]
14 Oct 2022, 7:09 am
By Lene Powell, J.D.SEC staff issued an FAQ stating that an investment adviser may consider factors relating to diversity, equity, and inclusion (DEI) in recommending other investment advisers to or selecting other advisers for its clients—if the use of such factors is consistent with a client’s objectives, the scope of the relationship, and the adviser’s disclosures.Commissioners Caroline Crenshaw and Jaime Lizárraga said the FAQ is a “step in the… [read post]
2 Feb 2016, 8:42 am
By Lene Powell, J.D.The First Circuit dealt disappointment to both sides in a CFTC enforcement action, ruling that a federal district court correctly ruled that an individual had committed commodity pool fraud and failed to register as a commodity pool operator, but did not have to pay restitution. [read post]
22 Jan 2015, 3:55 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.In an address to the Futures Industry Association in Tokyo, CFTC Chairman Timothy Massad talked about the interconnectedness of the global derivatives markets and the need for regulatory coordination on G-20 commitments. [read post]
5 Jan 2022, 6:08 am
By Lene Powell, J.D.In a new series of staff letters, the CFTC revised previous no-action relief to reflect guidance by the U.K. [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]
22 Jul 2019, 6:32 am
By Lene Powell, J.D. [read post]
29 Apr 2015, 6:29 am
By Lene Powell, J.D.A panel of the Ninth Circuit affirmed the dismissal of a counterclaim alleging breach of fiduciary duty by directors of a California corporation with a Canadian parent company. [read post]
24 Jun 2015, 7:03 am
By Lene Powell, J.D.At a conference of the Federation of European Accountants (FEE) in Belgium, PCAOB Chairman James Doty stressed the importance of international cooperation in joint inspections and policy work. [read post]
6 May 2020, 8:10 pm
By Lene Powell, J.D. [read post]
13 Sep 2023, 12:10 pm
By Lene Powell, J.D.The Council for Institutional Investors identified human capital as a “highest priority” project area for the International Sustainability Standards Board (ISSB) in the next two years. [read post]
14 Dec 2018, 5:59 am
By Lene Powell, J.D.In a new Request for Information, the CFTC is requesting public feedback on the virtual currency Ether and the Ethereum network that produces it. [read post]
13 Jan 2022, 6:22 am
., Lene Powell, J.D., and Brad Rosen, J.D. [read post]
24 Jan 2022, 5:00 am
By Lene Powell, J.D.Ahead of an expected SEC rule proposal on human capital management disclosures, new research provides hard data in this much-watched area. [read post]
