Search for: "Lene Powell"
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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]
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]
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]
20 Apr 2020, 7:51 pm
By Lene Powell, J.D.An elderly, ailing prisoner serving time for securities fraud could not bypass administrative exhaustion requirements in attempting to avoid the risk of contracting the COVID-19 virus in the prison setting. [read post]
6 Feb 2017, 5:00 am
By Lene Powell, J.D.The CFTC settled charges against The Royal Bank of Scotland plc (RBS), finding that certain of the bank’s traders attempted to manipulate U.S. [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]
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]
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]
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]
8 Jul 2019, 7:32 am
By Lene Powell, J.D. [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]
13 Jul 2023, 5:22 am
By Lene Powell, J.D.The SEC proposed to amend the Customer Protection Rule to require certain broker-dealers to increase the frequency of specified account computations and deposits. [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]
