Search for: "Lene Powell"
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20 Sep 2018, 7:21 am
By Lene Powell, J.D. [read post]
6 Mar 2017, 5:00 am
By Lene Powell, J.D.Several financial services industry associations and public interest groups have submitted comments on CFTC position limits rules proposed in December 2016, for which the comment period recently closed. [read post]
5 Aug 2022, 6:17 am
By Lene Powell, J.D.A group of 86 chief financial officers at major companies around the world signed a statement of support for proposed IFRS Sustainability Disclosure Standards, while making recommendations for further development.Aimed at standardizing disclosures by providing a global baseline, the proposals set forth requirements for the disclosure of material information about a company’s significant sustainability-related risks and opportunities.Also responding to the… [read post]
5 Mar 2015, 6:37 am
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.One-size-fits all stock trading has disadvantaged small companies and led to a significant decline in the number of listed companies and IPOs since the late 1990s, said investment banker David Weild in a meeting of the SEC Advisory Committee on Small and Emerging Companies. [read post]
31 Aug 2021, 8:37 am
By Lene Powell, J.D.Raising the stakes in an already highly contentious set of lawsuits, 49 top law firms have issued a joint statement that they believe special purpose acquisition companies (SPACs) are not investment companies under the Investment Company Act of 1940 (ICA), so long as two commonplace conditions are met. [read post]
14 Jan 2019, 5:00 am
By Lene Powell, J.D.A new study by ISS finds that California’s new law requiring public companies to include female directors on their boards could have “significant reverberations” for the entire U.S. market, potentially increasing the number of women on U.S. boards by 22 percent. [read post]
25 Sep 2014, 5:45 pm
[This story previously appeared in Securities Regulation Daily.]By Lene Powell, J.D.CFTC guidance on the cross-border application of Dodd-Frank swaps regulation has fragmented global swaps markets and risks a trade war over swaps market clearing and execution, said CFTC Commissioner J. [read post]
6 Apr 2015, 5:53 am
By Lene Powell, J.D.The CFTC charged Kraft Foods Group and its former affiliate Mondelēz Global with manipulating and attempting to manipulate the price of cash wheat and wheat futures. [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]
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]
15 Jul 2021, 7:42 am
By Lene Powell, J.D.Accelerating momentum to get market participants to switch from the LIBOR benchmark rate to an alternative reference rate, the CFTC Market Risk Advisory Committee (MRAC) adopted the "SOFR First" initiative as a market best practice. [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]
12 Mar 2015, 6:56 am
By Lene Powell, J.D.Former Senator Saxby Chambliss warned a futures industry conference that “nobody is immune” from cyberattacks, however big or small the firm, and that the enemy is very sophisticated. [read post]
15 Jun 2020, 9:26 am
By Lene Powell, J.D.The CFTC should consider clarifying the scope of fiduciary duties that commodity trading advisors (CTAs) and other asset managers owe to their customers, CFTC Commissioner Dan Berkovitz urged in a Commission opinion. [read post]
28 Apr 2022, 5:57 am
By Lene Powell, J.D.In remarks at City Week, SEC Chair Gary Gensler outlined targeted initiatives to improve transparency, resiliency, integrity, and access in fixed-income markets. [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]
27 Oct 2022, 5:39 am
By Lene Powell, J.D.The SEC adopted rule amendments to improve open-end mutual fund and ETF shareholder reports. [read post]
1 Nov 2023, 6:11 am
By Lene Powell, J.D.To prepare for a wide range of possible energy futures—from abundant renewable energy to continued substantial reliance on fossil fuels—regulators need to learn from industry experts and public interest groups and work with regulatory partners like the Federal Energy Regulatory Commission (FERC), said CFTC Commissioner Summer Mersinger in remarks at an energy conference. [read post]
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]
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]
