Search for: "Lene Powell"
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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]
14 Oct 2019, 8:22 am
By Lene Powell, J.D. [read post]
5 Apr 2022, 6:43 am
By Lene Powell, J.D.In a CFTC oversight hearing of the House Agriculture Committee, members returned repeatedly to the topic of digital assets. [read post]
26 Oct 2023, 5:59 am
By Lene Powell, J.D.SIFMA has amended its complaint in a challenge to Missouri securities rules that purport to “require transparency regarding ESG. [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]
6 Aug 2021, 7:16 am
By Lene Powell, J.D.Following SEC Chair Gary Gensler’s announcement that staff is preparing potential revisions to whistleblower rules adopted last year, the Commission announced new interim procedures for reviewing whistleblower applications. [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]
5 Aug 2015, 7:27 am
By Lene Powell, J.D.Adding certainty to the status of event prediction contracts under federal commodities law, the D.C. federal district court handed the CFTC a win in its enforcement action against two Irish companies that operated an online event predictions market, ruling that the contracts offered by Intrade.com were commodity options within the CFTC’s jurisdiction and that one company had violated a 2005 CFTC administrative order prohibiting it from accepting orders… [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]
27 Feb 2018, 7:28 am
By Lene Powell, J.D.To address conflicts of interest and associated conduct risks in the equity capital raising process, IOSCO has proposed guidance to help regulators evaluate market practices in their respective jurisdictions and take specific measures to mitigate risks. [read post]
1 Nov 2021, 3:43 pm
By Lene Powell, J.D.The CFTC Whistleblower Office released its annual report for FY 2021, revealing a somewhat lower-than-average total of over $3 million in awards, compared to $15 million in FY 2019 and $20 million in FY 2020. [read post]
27 May 2015, 5:36 am
By Lene Powell, J.D.In the wake of multiple enforcement actions against major banks for benchmark rate rigging, CFTC Chairman Timothy Massad sounded a warning about legislation being considered in Europe that could stop European banks and asset managers from trading in U.S. markets unless benchmarks are supervised in an “equivalent” manner. [read post]
29 Mar 2022, 8:14 am
By Lene Powell, J.D.Driven partly by concern about events in the U.S. [read post]
29 Sep 2016, 6:49 am
By Lene Powell, J.D.A federal district court erred in awarding partial summary judgment for the SEC in an enforcement action against a bank and its CEO for alleged disclosure and accounting fraud, the Eleventh Circuit ruled. [read post]
12 Mar 2024, 6:28 am
By Lene Powell, J.D.The SEC Investor Advisory Committee (IAC) adopted a recommendation for the SEC to scale back proposed rules on digital engagement practices. [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]
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]
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]
3 Jan 2024, 8:21 am
By Lene Powell, J.D.Crypto firm Terraform Labs and its founder Do Kwon sold unregistered securities, a federal district court ruled. [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]
