Search for: "Lene Powell"
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3 May 2023, 5:28 am
By Lene Powell, J.D.In pointed remarks, SEC Commissioner Hester Peirce found fault with mandatory standards for environmental, social, and governance (ESG) disclosures, saying regulators’ true aim is not to bring about comparability or consistency, but rather to direct private capital flows toward government objectives. [read post]
12 Aug 2021, 9:59 am
By Lene Powell, J.D.A new analysis by Watchdog Research shows a spike in 2021 of SPACs breaking bad news in amended 10-K filings, rather than using 8-Ks and other traditional methods. [read post]
27 Jun 2016, 7:19 am
By Lene Powell, J.D.The leaders of the House Agriculture Committee wrote to CFTC Chairman Timothy Massad to express concern about a proposed CFTC order that would recognize a private right of action for market manipulation involving certain transactions in the electricity markets. [read post]
20 Sep 2016, 5:00 am
By Lene Powell, J.D.The derivatives industry has done a good job of meeting tight deadlines for changing regulatory requirements, but in the process has built up a complex web of non-standard systems that some are nervous may not be robust in times of market stress, said the International Swaps and Derivatives Association (ISDA) in a new white paper. [read post]
31 Aug 2015, 8:34 am
By Lene Powell, J.D.The European Securities and Markets Authority (ESMA) is seeking feedback on a new consultation paper addressing the amount of margin required to be collected by clearinghouses. [read post]
27 Apr 2018, 6:03 am
By Lene Powell, J.D. [read post]
23 Dec 2015, 8:08 am
By Lene Powell, J.D.In an issue of first impression, an Illinois federal district court ruled that a Commodity Exchange Act provision on the use of a “manipulative or deceptive device” specifically prohibits fraudulent manipulation and must meet heightened pleading requirements for fraud allegations. [read post]
17 Mar 2017, 8:05 am
By Lene Powell, J.D.At a derivatives industry conference, a panel of market participants and a CFTC official discussed concerns arising from the intersection of regulation and technology. [read post]
3 Aug 2022, 6:51 am
By Lene Powell, J.D.Estimates by a medical company about the number of nerve injuries and surgeries occurring “each year” were forward-looking statements protected by the PSLRA safe harbor, a three-judge panel of the Eleventh Circuit ruled. [read post]
9 Aug 2022, 5:19 am
By Lene Powell, J.D.The CFTC withdrew no-action relief relating to PredictIt, an online event market focusing on U.S. political betting. [read post]
1 Sep 2022, 6:17 am
By Lene Powell, J.D.A House Oversight subcommittee chair has requested information from four federal financial regulators and five digital assets organizations about their efforts to combat fraud. [read post]
14 Oct 2019, 8:22 am
By Lene Powell, J.D. [read post]
20 Mar 2018, 6:55 am
By Lene Powell, J.D. [read post]
8 Feb 2021, 7:46 am
By Lene Powell, J.D.Emphasizing the importance of international regulatory coordination for the U.S. financial recovery, SIFMA has given the Biden administration a list of priorities for its cross-border financial services agenda. [read post]
19 Oct 2015, 5:00 am
By Lene Powell, J.D.A group of commodity customers asked the Supreme Court to decide whether their professional negligence claims against PricewaterhouseCoopers (PwC) were improperly barred on the basis of in pari delicto, as the Second Circuit ruled. [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]
7 Jul 2015, 5:04 am
By Lene Powell, J.D.Newman did not add a requirement for tippers to receive a “quid pro quo” from tippees, so Rajat Gupta lost his bid to have his two-year sentence for insider trading vacated. [read post]
3 May 2017, 5:00 am
By Lene Powell, J.D.The CFTC received a variety of comments on its revised proposal to regulate automated trading in the commodities and derivatives markets. [read post]
29 Mar 2021, 7:39 am
By Lene Powell, J.D.The Northern District of California dismissed an investor class action suit alleging that a cybersecurity company made misleading statements and failed to disclose damaging adverse facts in order to conceal financial struggles. [read post]
15 Feb 2017, 6:45 am
By Lene Powell, J.D.Rapid technological change and structural economic problems, including massive manufacturing job losses, are causing many Americans to feel they’re not getting a fair deal, said CFTC Commissioner Sharon Bowen in recent remarks at Northwestern University. [read post]
