Lawrence E. Ritchie

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.

Has the American judiciary closed the door on SEC administrative courts?

A decision from the Fifth Circuit Court in the United States found that the Securities and Exchange Commission’s in-house courts deprive...

Canadian Securities Administrators to expand regulatory requirements for crypto trading platforms

On December 12, 2022, the Canadian Securities Administrators announced that “following recent events in the crypto market” they would...

Canadian securities regulators issue warning about crypto trading

On November 21, 2022, the Canadian Securities Administrators (the CSA) issued a warning to investors about elevated risks of trading crypto assets....

New crypto guidance for federally regulated entities

On November 16, 2022, a joint statement was released to federally regulated entities engaging in crypto-asset activities or crypto-related services...

Clawing it back: SEC adopts listing standards to prevent executives from benefiting from misstatements in financial statements

New rules adopted by the United States Securities and Exchange Commission introduce clawback requirements in cases where corporate executives benefit...