Lawrence E. Ritchie Lawrence E. Ritchie

New Finance Minister Backs Plan for Cooperative National Securities Regulator

The newly appointed Minister of Finance recently affirmed the federal government’s support of a cooperative national securities regulator. Minister...

US Supreme Court Agrees to Hear Challenge to Salman Insider Trading Decision

The U.S. Supreme Court has agreed to hear the challenge to the Ninth Circuit Court of Appeal’s decision in United States v. Salman, a case that...

Defining a ‘Whistleblower’

On December 31, 2015, U.S. District Judge T.S. Ellis III denied an employee whistleblower protection under the Dodd-Frank Act. Rather than reporting...

Sanctions Ordered in Finkelstein/Azeff Insider Trading and Tipping Decision

On August 24, 2015, the Ontario Securities Commission (“OSC”) released its long awaited Reasons and Decision on Sanctions and Costs in the...