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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).

Organization & Governance​

The ASC has two operational levels, consisting of ASC Members and staff, including the Executive Management.

Currently, there are 12 Members, including the designated Chair and two full-time Vice-Chairs. The Chair acts as the ASC's Chief Executive Officer and is responsible for the overall operation of the Commission.

Members set policy and recommend changes to the Securities Act and the Securities Regulation. They are empowered to hear matters that affect the public interest in Alberta's capital market. In addition, Members act as the Commission's Board of Directors.

Staff responsibilities include registering persons and companies operating in Alberta's securities industry, reviewing prospectuses, considering exemption applications and taking enforcement action against persons and companies who have contravened securities laws. Staff are also responsible for the daily operation of the ASC's corporate affairs.

Expense Disclosure of Members and Executive Management

ASC Organization Chart

ASC Organization Chart