Lawrence E. Ritchie Lawrence E. Ritchie

British Columbia Securities Commission levies $1.5 million in sanctions on trio of investment scammers

In December, the British Columbia Securities Commission banned three actors from the capital markets for life after defrauding investors in a battery...

U.S. capital markets regulators crack down on recordkeeping and unapproved communication methods

The rise of alternative messaging applications poses challenges for many firms’ recordkeeping obligations. Lawrence Ritchie, Sarah...

On the road to greater regulatory clarity: The CSA provides further guidance on its expectations for crypto asset platforms and the trading of stablecoins in Canada

The Canadian Securities Administrators (CSA) have recently introduced new Pre-Registration Undertakings (PRUs) that will apply to crypto asset...

U.S. judge questions the silencing provisions of no-admit-no-deny settlements with the SEC

Under a no-admit-no-deny settlement provision, parties usually agree that they won’t make any statements, public or otherwise, that are...

Whistleblower pleads guilty to bribery, denied whistleblower award

When is a whistleblower ineligible for an award? Lawrence Ritchie, Sarah Firestone and Madison Kerr look at the potential implications of a...

SEC continues enforcement campaign against crypto market participants

Late last week, the U.S. Securities and Exchange Commission filed a complaint regarding a program that allowed retail clients to earn interest on...

White-collar crime enforcement in Canada: Making headway?

En 2022, il y a eu des développements importants dans la réglementation et l’application de la loi sur le crime en col blanc.