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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada.

Apr 24

Provincial Court dismisses all charges against Lethbridge-area men

​The Provincial Court of Alberta has dismissed all charges against Rand Stevenson, Brent Derricott and Robert Smylski.  In February 2013, Rand Tyler Stevenson and Brent Ray Derricott were charged under the Alberta Securities Act for making misleading or untrue statements to investors and trading in OCI Q Corp. securities without registration or a prospectus. Robert Michael Smylski was also charged with trading in OCI Q Corp. securities without a prospectus and for breaching Alberta Securities Commission (ASC) orders prohibiting him from trading in Alberta. The previous ASC panel decision permanently banning Smylski from trading in any securities remains in effect. The ASC is the regulatory agency responsible for administering the province's securities laws. It is entrusted with fostering a fair and efficient capital market in Alberta and with protecting investors.  As a member of the Canadian Securities Administrators, the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets. -30- Read more

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The CheckFirst Café hit the road for the Calgary & Edmonton Home & Garden Shows

Fraud Prevention Month is over for another year, and the ASC is pleased to have several successful public awareness events behind us. In addition to our Cafe Rosso takeover, the CheckFirst Café “popped up” at both the Calgary and Edmonton Home & Garden Shows. You can find a recap of the Shows on our blog.

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Learn the basics of investing

Need help with understanding different types of investments or how to find a financial adviser? It’s never too late to get some useful tips and information.

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High Yield Investment Program (HYIP)

An investment that promises high rates of return but is a scam. It is a type of Ponzi scheme where returns are paid with money invested by new investors.

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