Lawrence E. Ritchie Lawrence E. Ritchie

U.S. court ruling challenges SEC’s circumstantial insider trading evidence

A recent decision in Virginia signals the importance of the evidentiary burden in insider trading cases and could have implications for enforcement...

Ontario Capital Markets Modernization Taskforce elicits potential enforcement changes in proposed Capital Markets Act

The draft of Ontario’s proposed Capital Markets Act includes several recommendations designed to modernize and enhance the OSC’s...

Tools of the trade: OSC criminal and quasi-criminal charges result in jail terms for convicted securities fraudsters

With several tools at their disposal, Canadian securities regulators are showing their willingness to safeguard their capital markets however they...

CFTC announces record-breaking whistleblower award: Does it raise the bar for incentivizing whistleblowing?

The U.S. Commodity Futures Trading Commission recently announced the largest payout ever given to a single whistleblower under the Dodd-Frank Program...

Move towards stablecoin regulation picks up pace in U.S.

The move to regulate stablecoins is picking up in the United States. Osler’s Lawrence Ritchie, Lori Stein and Simon Cameron look at how the...

The pursuit of protection and deterrence: the OSC finds MFDA panel erred in failing to impose a fine

Last month, the Ontario Securities Commission ruled that a decision of the self-regulating Mutual Fund Dealers Association of Canada regarding...