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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

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Jul 12

Interim Cease Trade Order against Nicholas John Felgate Extended

CALGARY – July 12, 2018 – The Alberta Securities Commission (ASC) has extended the Interim Cease Trade Order that was issued March 16, 2018 against Nicholas John Felgate. The Extending Order prohibits Felgate from trading in all securities and from using any exemptions contained in Alberta securities laws. The Extending Order is in effect until any proceeding initiated pursuant to the Act, including a trial in respect of an offence, is finally determined or otherwise concluded. A copy of the Extending Order can be found on the ASC website at albertasecurities.com. 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 - For further information please contact: ​ Read more

Calendar of events 

Connecting with Alberta seniors about investment fraud – June recap

Financial abuse is one of the most common forms of elder abuse in Canada, and many organizations dedicate the month of June to help inform seniors, caregivers and families about how to protect themselves from various forms of abuse. Find out how the ASC connected with seniors during June.

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Investing 101 Course

If you are an investor or are thinking about investing, this plain-language, non-promotional course provides you with an overview of investing. Gain basic knowledge to make a well-informed decision when you are presented with an investment opportunity.

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Family, Friends and​​ Business Associates (FFBA) Review

We are conducting a review of the FFBA prospectus exemption. The intent of this review is to help the ASC better understand the use of the exemption. We have selected a random sample of investors who will receive our questionnaire shortly.

More information​​​​​