Search for: "Lene Powell"
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8 Feb 2023, 6:29 am
By Lene Powell, J.D.Citing BlackRock as “a well-known adversary of energy businesses,” Oklahoma State Treasurer Todd Russ sent a letter and questionnaire to national financial institutions, including fund managers and banks, requesting information about their activities around a possible “boycott” of energy companies in Oklahoma.According to Russ, the move is the first step in compiling a list of companies that Oklahoma government entities are prohibited… [read post]
17 Jan 2023, 5:00 am
By Lene Powell, J.D.Providing possible new fuel for securities fraud lawsuits, a new study published in Science found that Exxon’s internal projections on climate change accurately forecast warming consistent with subsequent observations. [read post]
4 Jan 2023, 6:09 am
By Lene Powell, J.D.An attorney employed by Morgan Stanley subsidiaries in Japan and Hong Kong had no recourse under Section 806 of the Sarbanes-Oxley Act (SOX) for alleged whistleblower retaliation after he raised concerns about possible securities law violations. [read post]
16 Dec 2022, 8:04 am
By Lene Powell, J.D.Financial systems are built on trust and need strong enforcement to keep that trust. [read post]
13 Dec 2022, 5:15 am
By Lene Powell, J.D.Watchdog group Better Markets has filed a complaint asking the CFTC Inspector General to investigate Commissioner Caroline Pham for “possible ethics violations and misuse of her position. [read post]
18 Nov 2022, 6:51 am
By Lene Powell, J.D.Large parts of the digital asset market may be operating outside of the federal securities laws, SEC Commissioner Jaime Lizárraga said in remarks at Brooklyn Law School. [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]
20 Oct 2022, 6:44 am
By Lene Powell, J.D.A business executive who formed two Delaware companies for the purpose of acquiring a third company was subject to personal jurisdiction in Delaware. [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]
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]
23 Sep 2022, 7:30 am
By Lene Powell, J.D., Brad Rosen, J.D. and Matthew Garza, J.D.In remarks in May SEC Chair Gensler acknowledged that measures of the size of the environmental, social, and governance (ESG) investment sector vary, then repeated an estimate from industry association US SIF that put the “U.S. sustainable investment universe” at $17.1 trillion. [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]
25 Aug 2022, 7:51 am
By Lene Powell, J.D.Stating that Elon Musk’s response to discovery requests has been “suboptimal,” the Delaware Chancery Court granted two discovery requests from Twitter in its lawsuit to compel Musk to complete his acquisition of the company. [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]
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]
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]
29 Jul 2022, 8:20 am
By Lene Powell, J.D.In a letter to SEC Chair Gary Gensler, Senate Banking Committee Ranking Member Pat Toomey (R-Pa) slammed a “continued unwillingness by the SEC to give regulatory clarity to the cryptocurrency community and consumers. [read post]
27 Jul 2022, 7:04 am
By Lene Powell, J.D.The SEC announced insider charges against nine individuals in connection with three separate alleged schemes, including a former chief information security officer (CISO), an investment banker, and a former FBI trainee. [read post]
15 Jul 2022, 8:30 am
., and Lene Powell, J.D.Wolters Kluwer experts explain a rising anti-ESG backlash, including new laws prohibiting discrimination against fossil fuels and firearms businesses, threatened penalties for companies providing employee assistance for abortions, and Florida’s “Stop WOKE Act” that puts corporate diversity efforts squarely in the crosshairs.Legal analysts Brad Rosen, Matthew Garza, and Lene Powell explore the new anti-ESG laws and… [read post]
24 May 2022, 5:00 am
By Lene Powell, J.D. [read post]
