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Browse: Home / Gensler

Gensler

Crypto Legislation Could Undermine Market Regulations, Gensler Says – WSJ

By Securities Docket on June 15, 2022, 11:16 am

Asked about a bill introduced last week by Sens. Cynthia Lummis (R., Wyo.) and Kirsten Gillibrand (D., N.Y.), Mr. Gensler initially demurred, saying he would prefer to discuss the proposed legislation with the senators. But he then suggested that legislative changes targeting cryptocurrencies could have implications for stock exchanges or mutual funds. “We don’t want […]

Posted in Industry, SEC, Top | Tagged Gensler

SEC Chief Wants Advisors, BDs to Improve ‘Cyber Hygiene’ | ThinkAdvisor

By Securities Docket on January 25, 2022, 9:46 am

Securities and Exchange Commission Chairman Gary Gensler said Monday that he wants  advisors and broker-dealers to improve their “cyber hygiene” as well as their data privacy disclosures. Investment companies, investment advisors and broker-dealers, which are not covered by the SEC’s Regulation Systems Compliance and Integrity, or Reg SCI, must “comply with various rules that may […]

Posted in SEC, Top | Tagged Cybersecurity, Gensler

Where Are the (Crypto) Lawyers? | LinkedIn

By Securities Docket on November 12, 2021, 8:12 am

It’s Déjà vu all over again at the SEC. At the 2021 SEC Enforcement Forum, Chair Gary Gensler of the U.S. Securities and Exchange Commission (SEC), seized the opportunity to admonish the rising crop of self-anointed fintech lawyers who too often advise their clients on how to circumvent U.S. securities laws — as opposed to […]

Posted in SEC, Top | Tagged Attorneys, Cryptocurrency, Gensler

SEC Chair Warns of Enforcement “Without Quarter” | Cadwalader Cabinet

By Securities Docket on November 5, 2021, 12:52 pm

In remarks before the Securities Enforcement Forum, SEC Chair Gary Gensler echoed first SEC Chair Joseph Kennedy’s assertion that the SEC “will make war without quarter on any who sell securities by fraud or misrepresentation.” Mr. Gensler outlined several principles that he shared with the Division of Enforcement to guide its assessments of misconduct under […]

Posted in SEC | Tagged Gensler

SEC Chair Gary Gensler: Prepared Remarks At the Securities Enforcement Forum

By Securities Docket on November 5, 2021, 9:46 am

Before I close, I’d like to address the audience directly — those of you who are lawyers, auditors, accountants, bankers, and investment advisers. You all play an important role in our capital markets. Market participants rely on you for advice and counsel on a daily basis. Within our securities laws, you are entrusted with certain […]

Posted in SEC, Top | Tagged Gensler

Gensler: SEC Will Pursue Misconduct Everywhere Including Matters That Don’t Make Headlines

By Securities Docket on November 5, 2021, 9:42 am

Speaking to the Securities Enforcement Forum Gensler told the corporate executives in the audience: “If you’re asking a lawyer, accountant, or adviser if something is over the line, maybe it’s time to step back from the line.” He told the lawyers, auditors, accountants, bankers, and investment advisers in attendance they can often be the first […]

Posted in SEC, Top | Tagged Gensler

Gary Gensler has a full agenda as he gets set to take over the SEC

By Securities Docket on April 14, 2021, 10:03 am

With Democrats in control of all three major branches of government, and the SEC commissioners now with a 3-2 Democratic majority, Gensler is likely to face calls from progressives to act on several fronts, including ESG, the GameStop fallout, the Archegos fiasco, payment-for-order flow, fiduciary obligations, and especially regulations around securities in the crypto space, […]

Posted in SEC, Top | Tagged Gensler

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