Lawrence E. Ritchie Lawrence E. Ritchie

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 introduced its newest mechanism for levying administrative monetary penalties without a hearing for...

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...

IOSCO unveils consultation report on global crypto regulation

The International Organization of Securities Commission has published a consultation report which aims to address market integrity and investor...

Ontario Superior Court provides guidance on the bribery offence under the CFPOA

Enforcement proceedings under Canada’s Corruption of Foreign Public Officials Act have been relatively infrequent. A recent Ontario decision...