Lawrence E. Ritchie Lawrence E. Ritchie

Further steps taken towards financial title regulation

The titles used by financial professionals are some times confusing for investors and consumers.

CSA releases Annual Enforcement Report for fiscal year 2020/2021

On June 22, 2021, the Canadian Securities Administrators (the CSA) released their annual Enforcement Report for the 2020/2021 fiscal...

Global financial crime compliance costs are trending upwards. Is Canada catching up?

A new report shows the costs of global financial crime compliance skyrocketed in the last year. In their blog post, Lawrence Ritchie, Sonja Pavic and...

New Canadian foreign investment promotion and protection model expands responsible business conduct provisions

On May 13, 2021, Global Affairs Canada released the 2021 Model FIPA, a model agreement which will serve as the basis for future foreign investment...

Is Canada rising to the challenge? Responding to calls for more effective financial crime prevention and enforcement

As we have observed in a number of our prior posts (e.g., our post illustrating Canada’s drop from the top 10 least corrupt countries in...

Canada’s budget introduces long-awaited beneficial ownership registry to combat money laundering

With increasing spotlight being shone on the prevalence of financial wrongdoing worldwide   – especially following revelations...

A look back at IIROC’s enforcement activities: Early resolution offers, more sanctions, and more hearings

The COVID-19 pandemic brought with it a host of novel issues that have had an impact on markets, companies, investors and consumers. Without a doubt,...