Lawrence E. Ritchie Lawrence E. Ritchie

U.S. Supreme Court provides guidance on SEC disgorgement power

The Supreme Court of the United States recently provided guidance regarding the U.S. Securities and Exchange Commission’s (the...

Financial Services Regulatory Webinar: Regulatory Convergence in the Financial Services Sector

Join us for a panel Q&A as we continue to explore regulatory convergence in financial services regulation as it reflects trends within the...

The role of the board in responding to a crisis

Sooner or later, every enterprise will face a crisis. When it hits, the ability to side-step disaster depends on the effectiveness of your...

Preparing for the reopening of Canada’s economy: Best practices for resuming operations and managing risk

As governments across Canada announce their frameworks to reopen the economy, and provinces begin to gradually ease emergency restrictions, companies...

Corruption risk and the COVID-19 pandemic: Ensuring compliance in the era of the “new normal”

The COVID-19 pandemic increases risk for businesses operating in a new and uncertain economic context. While regulators have eased certain...

Capital markets regulator embracing renewal in the shadow of “unprecedented change”

Canada’s largest provincial capital markets regulator, the Ontario Securities Commission (the “OSC”),  while offering needed...

Ontario Appeal Court addresses the definition of a “security”: if it looks, walks and quacks like a duck, it MAY be a duck

In a decision released March 16, 2020 that may have implications for the regulatory treatment of certain financial instruments in...

Regulators push deadlines for reform implementation in response to COVID-19

As the COVID-19 pandemic saga continues to unfold, financial regulators continue to demonstrate flexibility for market participants and their staff...

Tips and awards: the OSC and SEC whistleblower programs report milestones

The enforcement team at the Ontario Securities Commission (the “OSC”) is emphasizing the unique role that industry experts should play in...