Risk Management and Crisis Response Blog

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...

Unique lawsuit against company’s directors takes aim at climate risks

U.K.–based environmental non-governmental organization ClientEarth took climate litigation to a new frontier last month when it filed a...

Ontario Court of Appeal provides corrective guidance on anti-SLAPP motions

In its recent decision in Park Lawn Corporation v. Kahu Capital Partners Ltd., the Court of Appeal for Ontario addressed the current practice around...

Retail Payment Activities Act: Draft regulations published for comment

The Department of Finance has published draft regulations under the Retail Payment Activities Act (RPPA) proposing significant and, in some cases,...

Responding to environmental incidents in a time of greater scrutiny

Recent cases in Canada have illustrated that Environment and Climate Change Canada, and other regulatory bodies, are issuing substantial penalties...

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...