Lawrence E. Ritchie Lawrence E. Ritchie

Corruption risk and the COVID-19 pandemic: Ensuring compliance in the era of the “new normal”

The COVID-19 pandemic increases risk for businesses operating in a new and uncertain economic context. While regulators have eased certain...

Capital markets regulator embracing renewal in the shadow of “unprecedented change”

Canada’s largest provincial capital markets regulator, the Ontario Securities Commission (the “OSC”),  while offering needed...

Ontario Appeal Court addresses the definition of a “security”: if it looks, walks and quacks like a duck, it MAY be a duck

In a decision released March 16, 2020 that may have implications for the regulatory treatment of certain financial instruments in...

Regulators push deadlines for reform implementation in response to COVID-19

As the COVID-19 pandemic saga continues to unfold, financial regulators continue to demonstrate flexibility for market participants and their staff...

Tips and awards: the OSC and SEC whistleblower programs report milestones

The enforcement team at the Ontario Securities Commission (the “OSC”) is emphasizing the unique role that industry experts should play in...

COVID-19: Ontario and Québec governments limit non-essential business operations

In response to the COVID-19 pandemic, provincial governments across Canada have declared states of emergency and/or states of public health...

Réponse judicieuse à la crise liée au nouveau coronavirus (COVID-19)

Les organisations doivent cerner et gérer de façon réfléchie les risques entraînés par cette « crise », précipitée par la flambée, en...