Search for: "Lene Powell"
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DOJ issues guidance on individual accountability, prior corporate misconduct, and corporate monitors
2 Nov 2021, 6:41 am
By Lene Powell, J.D.Holding individuals accountable for white collar crime is the “first priority” for the DOJ, said Deputy Attorney General Lisa O. [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]
28 Oct 2021, 6:33 am
By Lene Powell, J.D.The effects of climate change on financial markets took center stage at a hearing of the Senate Agriculture Committee on the confirmation of Rostin Behnam for CFTC Chair. [read post]
15 Oct 2021, 5:42 am
By Lene Powell, J.D.SEC officials from the Division of Corporation Finance provided updates at the SEC Speaks conference on the Division’s jam-packed agenda, including in the areas of SPACs, issues around Chinese companies, 10b5-1 trading plans, proxies and proxy advice, and disclosures relating to climate, human capital and diversity, among many other topics.The SEC Speaks conference was sponsored by the Practising Law Institute (PLI). [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]
29 Sep 2021, 6:19 am
By Lene Powell, J.D.Experts involved in helping companies go public via SPAC IPOs provided an outlook on the current SPAC landscape at a recent securities law conference. [read post]
27 Sep 2021, 8:33 am
By Lene Powell, J.D.In a panel at a recent securities conference, former SEC division heads discussed SEC Chair Gary Gensler’s rulemaking agenda and staff appointments. [read post]
24 Sep 2021, 5:00 am
By Lene Powell, J.D. [read post]
22 Sep 2021, 7:00 am
By Lene Powell, J.D.In remarks at an accounting conference, PCAOB officials stated that economic volatility due to the COVID-19 pandemic has presented difficulties for management in estimating loan loss provisions. [read post]
15 Sep 2021, 4:18 pm
By Lene Powell, J.D.The White House announced President Joe Biden’s intent to nominate three individuals for seats on the Commodity Futures Trading Commission. [read post]
14 Sep 2021, 11:07 am
By Lene Powell, J.D.The Investor Advisory Committee heard input about digital engagement practices, or features of investment platforms that shape the user experience. [read post]
9 Sep 2021, 11:10 am
However, there is formidable opposition. 63 top law firms have signed an unusual joint statement opposing the litigation.Senior legal analyst Lene Powell explains the legal claims and what’s at stake.Read the piece here: Are SPACs investment companies? [read post]
1 Sep 2021, 12:29 pm
By Lene Powell, J.D.The SEC Investor Advisory Committee has released two draft recommendations scheduled to be considered at its September 9 meeting. [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]
25 Aug 2021, 6:16 am
By Lene Powell, J.D.In a strongly worded statement, CFTC Commissioner Dawn Stump called out what she sees as a growing misunderstanding of the CFTC’s jurisdiction over digital assets. [read post]
19 Aug 2021, 5:00 am
By Lene Powell, J.D.Over an incredible career spanning 50 years, Mr. [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]
10 Aug 2021, 9:12 am
By Lene Powell, J.D.The SEC’s approval of a new Nasdaq rule on board diversity is drawing support and opposition along party lines, reflecting a 3-2 split in the Commission itself. [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]
5 Aug 2021, 9:07 am
By Lene Powell, J.D.At five months before the slated end of the LIBOR benchmark rate, the Alternative Reference Rates Committee (ARRC) announced it is formally recommending CME Group’s forward-looking Secured Overnight Financing Rate (SOFR) term rates (SOFR Term Rates). [read post]
