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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).

Reporting Suspicious Investments

Feeling uncomfortable about an investment opportunity that you’ve been considering? Not sure if you should believe a friend who says an opportunity is too good to be missed?

Give yourself some peace of mind. Research the particular company or individual offering the investment. Only you can ensure that you are making an informed decision.

Visit the Check First page and follow the steps there. If, after taking these steps, you still have additional concerns or questions, please contact our Public Information and Inquiries office:

inquiries@asc.ca
telephone: 403-355-4151
toll free: 1-877- 355- 4488

Please be ready to provide the following information:

  • Complete spelling of your first and last name
  • State whether you wish to have us respond to you via email or phone. If email: please spell the email address slowly and clearly. If phone: please list multiple numbers with area code for reaching you (work, home, cell), when a convenient call back time is and whether it is okay for us to leave a detailed message on your answering machine/ voicemail.
  • State what it is that you are wanting to know (e.g. if an adviser/ broker is registered, or if a company has been the subject of enforcement action).
  • List the spelling of the full name of the adviser/ broker or company you are wondering about (if possible, please provide a middle name or initial and/ or the correct variation of the company name such as Inc., Ltd., Co. etc.).

If you think you want to make a formal complaint instead, click here.


What the ASC can and cannot do

In enforcing Alberta securities laws, the ASC is empowered to take certain actions to protect investors and the integrity of Alberta's capital market.

The ASC can:

  • impose fines known as “administrative penalties” of up to $1 million per contravention of the Alberta Securities Act, freeze assets and ban from the market those who breach the Act;
  • stop businesses or individuals from trading securities during an investigation;
  • stop the trading in securities of a business if it fails to file information required under the Act; and
  • pursue offenders in Provincial Court as an agent of the Crown, with the power to seek jail terms of up to five years less a day and fines of up to $5 million.

The ASC cannot:

  • get money back for investors;
  • offer investment or legal advice; or
  • comment on any aspect of an investigation.