Lawrence E. Ritchie

B.C. Securities Commission program offers monetary awards for whistleblowing

The British Columbia Securities Commission has introduced a new Whistleblower Program to incentivize future whistleblowers to come forward by...

CSA releases its first consolidated ‘Year in Review’

A recent Canadian Securities Administrators report tracks the progress provincial and federal regulators have made on their strategic goals. We look...

OSC publishes report on AI in the capital markets

Like elsewhere in the economy, alternative intelligence technologies offer both potential benefits and significant risks to capital markets...

California’s new ‘Climate Accountability Package’

California’s legislature recently passed two bills that impose significant mandatory climate-related reporting requirements for large public...

Amendments to British Columbia’s Securities Act grant BCSC new powers

On July 17, 2023, legislative amendments to British Columbia’s Securities Act, targeted at “modernizing” the statute and improving...

Streamlining enforcement of minor infractions: the British Columbia Securities Commission’s ‘traffic ticket’ style mechanism

On April 26, 2023, the B.C. Securities Commission (the BCSC) introduced its newest mechanism for levying administrative monetary penalties without a...

CIRO outlines first steps in bulletin on priorities for FY2024

Having closed the transaction which saw the amalgamation of Canada’s two self-regulatory organizations effective January 1, 2023, the Canadian...

Canadian securities regulators publish results of review of conflicts of interest practices

On August 3, 2023, Canadian securities regulators released the findings of their joint review of conflicts of interest practices at 172 investment...

Regulators’ data breach response signals challenges to compliance with its own rules

The SEC’s recent statement revealing the true impact of an internal data breach highlights the potential challenges of complying with its own...

A ripple in the pond of crypto regulation: The U.S. District Court’s ruling in SEC vs. Ripple

A recent U.S. District Court ruling indicates that certain digital tokens may be outside the regulatory jurisdiction of American securities...