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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).

ASC announces dates for open sessions on proposed reforms to discontinue embedded commissions

Sep 29 2017

CALGARY – September 29, 2017 – The Alberta Securities Commission (ASC) today announced open forums to further explore issues raised in CSA Consultation Paper 81-408 Consultation on the Option of Discontinuing Embedded Commissions which proposes regulatory action to prohibit embedded commissions and require all investors to enter into direct-pay agreements with their dealer firms. These sessions are being held as part of our ongoing consultation process on this matter.

The sessions will take place on Monday, October 23, 2017 from 1 to 3 p.m. in Calgary and on Tuesday October 24, 2017 from 1 to 3 p.m. in Edmonton.

All interested parties are invited to participate, however advance registration is required. If you would like to attend, please RSVP by filling out the Calgary or Edmonton form by Wednesday, October 11. A transcript of each forum will be made available on the ASC’s website at a later time.

Additional details regarding the event, including locations will be provided to those who have registered closer to the event date.

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.

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For more information:

Hilary McMeekin
Communications Manager
For Investor Inquiries:
ASC Public Inquiries
Toll Free 1-877-355-4488