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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).

Who We Are

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.

The Securities Act (Alberta) is designed to ensure that Alberta’s capital market operates fairly and efficiently for participants and that investors have timely, accurate information on which to base investment decisions. It also ensures that those who sell securities in Alberta are registered and that they conduct themselves according to applicable laws and professional standards.

The ASC regulates all securities-related activity in Alberta, either directly or indirectly through self-regulatory organizations (SROs). To ensure SROs effectively conduct this regulation in a manner that meets our standards and fulfills our responsibilities, securities regulators conduct regular reviews of these organizations.

The ASC regulates the activities in Alberta of the Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association of Canada (MFDA), the Natural Gas Exchange Inc. and the Alberta Watt Exchange Limited. Along with the British Columbia Securities Commission, the ASC oversees the operations of the TSX Venture Exchange (TSXV).

Alberta’s Lieutenant Governor in Council appoints ASC Commission Members. Members determine policy, consider and approve new rules and recommend changes to the Securities Act (Alberta), the regulations made pursuant to the Act, and the Alberta Securities Commission Rules.

Members are also empowered to grant discretionary exemptions from the requirements of Alberta securities laws and to conduct hearings into matters that affect the public interest in Alberta’s capital market. In addition, the Members act as the ASC’s board of directors, overseeing the management of the ASC.

As a member of the Canadian Securities Administrators, the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets.

Read more:

  1. The Alberta capital market
  2. How the ASC works
  3. What the ASC can and cannot do
  4. How we are funded
  5. History of the ASC
  6. About the CSA