Decisions and Orders 

Under Enforcement – Decisions and Orders, you will find material relating to ASC Staff allegations of breaches of Alberta securities laws, including final decisions and orders where breaches are proved.

You can also find certain decisions and orders by viewing:

• For Companies – Decisions and Orders (matters including disclosure filing deficiencies, exemptions for issuers and take-over bids)
• For Dealers & Advisers – Decisions and Orders (matters including exemptions for applicants, exchange and self-regulatory organization issues and registration issues)

To find information about a person's or company's enforcement history in Alberta and in other Canadian provinces and territories, search these resources:

• Disciplined Persons List  - maintained by the Canadian Securities Administrators (CSA) 
• National Cease Trade Orders Database – maintained by the CSA
• CanLII website – a not-for-profit organization managed by the Federation of Law Societies of Canada that provides securities commissions’ decisions and orders

* Please note that the information provided by these resources may not be comprehensive.

Note:  We have been reorganizing the categories of Decisions and Orders documents on our website. 

Some documents formerly found under “Enforcement – Decisions and Orders” have been moved to “For Companies – Decisions and Orders” or to “For Dealers & Advisers – Decisions and Orders”. 

You may want to conduct your search in more than one section.  Thank you for your patience as we complete this transition.