Search for: "Lene Powell"
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2 Nov 2023, 6:10 am
By Lene Powell, J.D.Senator Josh Hawley (R-Mo) has introduced a bill aiming to limit public corporations’ ability to influence elections. [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 2021, 7:51 am
By Lene Powell, J.D.The SEC announced that John Coates will serve as Acting Director of the Division of Corporation Finance. [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]
11 Mar 2016, 4:29 pm
By Lene Powell, J.D.A cooperative corporation and futures commission merchant (FCM) agreed to pay $1 million to settle CFTC charges relating to persistent errors in reporting corn and soybean futures positions, in violation of Regulation 19.01. [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]
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]
22 Jul 2019, 6:32 am
By Lene Powell, J.D. [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]
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]
5 Apr 2018, 9:21 am
By Lene Powell, J.D. [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]
1 Oct 2021, 7:54 am
By Lene Powell, J.D.A Ninth Circuit panel upheld a lifetime trading ban for an individual who fraudulently solicited funds from investors and made false statements to a regulatory authority. [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]
5 Apr 2021, 6:13 am
By Lene Powell, J.D.In the wake of the spectacular collapse of Archegos Capital Management, CFTC Commissioner Dan Berkovitz urged the commission to revisit regulatory requirements for family investment offices, warning that a recent regulatory rollback hampers the agency’s ability to protect the integrity of the commodity markets. [read post]
9 Sep 2019, 9:08 am
By Lene Powell, J.D. [read post]
13 Apr 2018, 5:00 am
By Lene Powell, J.D. [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]
13 Jan 2022, 6:22 am
., Lene Powell, J.D., and Brad Rosen, J.D. [read post]
1 Aug 2019, 8:26 am
By Lene Powell, J.D. [read post]
