Lawrence E. Ritchie Lawrence E. Ritchie

Crypto evolving: embracing TradFi compliance amid regulatory uncertainty

Heading into 2025, the regulatory landscape around cryptoassets and other emerging technologies remains in flux.

Two years of CIRO: enforcement, harmonization and what’s next

The Canadian Investment Regulatory Organization’s core priorities will be enforcement and regulatory harmonization.

Will new powers lead to more effective capital markets regulatory enforcement?

With broader investigative and enforcement powers, securities regulators levied increased sanctions in 2024.

Changes of enforcement leadership raise questions about new priorities

Amid recent departures from top enforcement jobs, personalities and personal agendas can affect regulators’ strategies and enforcement priorities.

Canadian Securities Administrators’ 2023–2024 annual Year in Review

The annual report highlights efforts undertaken in response to emerging issues and changing conditions in the country’s capital markets.

Proposed amendments would allow email summons from the Ontario Securities Commission

Following a recommendation from the province’s Capital Markets Modernization Taskforce, Ontario is proposing to ease the requirements for the...

The OSC’s new proposal to distribute funds from disgorgement orders to harmed investors

The Ontario Securities Commission (OSC) has published proposed rules that outline the procedure the OSC and harmed investors must follow for the...

Supreme Court of Canada decision impacts Securities Commissions’ ability to collect from bankrupt transgressors

On July 31, 2024, the Supreme Court of Canada ruled on whether financial sanctions imposed by securities regulators are dischargeable through...

Long-awaited U.S. Supreme Court ruling curtails SEC’s use of administrative courts

The U.S. States Supreme Court ruled on a decade-long dispute between the SEC and a hedge fund manager.

SEC wins novel ‘shadow trading’ trial against biopharma executive

A novel theory of insider trading known as “shadow trading” involves the use of material non-public information about a reporting issuer...