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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 Credit for Exemplary Cooperation in Enforcement Matters Policy

Oct 16 2017

CALGARY – October 16, 2017 – The Alberta Securities Commission (ASC) today announced its new Credit for Exemplary Cooperation in Enforcement Matters Policy (ASC Policy 15-601) outlining the factors ASC staff will consider in exercising their discretion to grant credit for cooperation above and beyond what is required under Alberta securities laws. The Policy provides clarity to assist those involved in enforcement matters to understand the circumstances in which ASC staff will grant credit for exemplary cooperation.

“Our goal with this Policy is to encourage individuals and entities to self-report securities misconduct to the ASC and provide full and timely cooperation in investigations and proceedings,” said Cynthia Campbell, Director, Enforcement. “The benefit to market participants is that they can address certain types of securities violations with efficiency and greater certainty. Additionally, taking this approach will improve enforcement effectiveness, which leads to better protection of investors and our capital market.”

A copy of the ASC Credit for Exemplary Cooperation in Enforcement Matters Policy 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 to foster a fair and efficient capital market in Alberta and to protect 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 further information please contact:

For Media Inquiries:
Hilary McMeekin
Communications Manager
403-592-8186
For Investor Inquiries:
ASC Public Inquiries
Toll Free: 1-877-355-4488