Lawrence E. Ritchie Lawrence E. Ritchie

OSC’s Investor Advisory Panel releases 2018 Annual Report

The challenge of understanding the unique perspectives of consumer level investors led the Ontario Securities Commission (OSC) to establish the...

MFDA boosts enforcement activity in 2018

Canada’s ‘other’ national self-regulatory agency is demonstrating its intention to police the mutual fund distributors it...

IIROC moving forward with new enforcement tools

The Investment Industry Regulatory Organization of Canada, Canada’s national investment dealer self-regulatory organization, has announced it...

Canadian prosecutors secure two more convictions in foreign corruption case

Two convictions recently handed down by the Ontario Superior Court of Justice account for two of only three convictions secured by prosecutors in...

U.S. regulators coordinate enforcement of violations involving the FCPA

While many in Canada lament the ‘fragmented’ financial regulatory environment that is a hallmark of  its constitutional division of...

OECD releases report confirming non-trial resolutions represent the main mechanism used to combat transnational corruption issues

The seventh annual Global Anti-Corruption and Integrity Forum of the Organisation for Economic Co-operation and Development (OECD) was held in Paris...

Wells Fargo officials reach $240 million settlement over unauthorized accounts

On February 28, 2019, a $240 million (U.S. dollar) settlement reached between Wells Fargo executives and directors and the bank’s U.S....

CSA and IIROC propose regulatory framework for cryptoasset trading platforms

On March 14, 2019, the Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) published a...

Apple lawyer charged with insider trading

The recent insider trading case of a former senior lawyer at Apple Inc. serves as a reminder that those tasked with upholding a company’s...

Recent guilty plea demonstrates that criminal liability for corruption may extend to corporate officers

On February 1, 2019, former SNC-Lavalin CEO Pierre Duhaime pleaded guilty to breach of trust for his role in connection with the bribery scheme...