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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada.

News Releases

News releases are archived from 1999. Please note that our transition to a new website may result in formatting errors and incorrect links in news releases released prior to August 2013. Please use the contact information below if you have any questions about a specific news release.

Contact ASC Media Relations:
(403) 297-4481
media@asc.ca

Date
Title
2/16/2017ASC alleges Jason Currey and related companies perpetrated fraud on investors
2/13/2017ASC Announces Strategic Plan for F2018-2020
2/10/2017ASC orders temporary trading halt against Horizon Minerals Corp.
2/8/2017ASC sanctions Coastal Pacific Mining Corp. for contravening Alberta securities laws
2/7/2017ASC finds that Ferlyn Chmelyk contravened Alberta securities laws
1/26/2017Canadian Securities Regulators Publish Final Proxy Voting Protocols
1/26/2017Canadian Securities Regulators to Lower Trading Fee Cap for Non-Inter-listed Securities
1/24/2017Gregory Frederick Hilderman and Jonathan Financial admit to breaching securities laws
1/24/2017ASC alleges Proforma Capital Inc. and related parties breached Alberta securities laws
1/19/2017Canadian Securities Regulators Adopt Rules for Over-the-Counter Derivatives Clearing
1/18/2017CSA Announces Agenda for Cyber Security Roundtable
1/10/2017ASC warns Albertans of top five investor risks for 2017
1/10/2017Canadian Securities Regulators Seek Input on Potential Impacts of Discontinuing Embedded Commissions
1/4/2017ASC finds Coastal Pacific Mining breached securities laws by engaging in market manipulation
12/15/2016ASC to adopt disclosure requirements regarding the representation of women on boards and in senior management
12/15/2016Canadian Securities Regulators Release Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives
12/15/2016Canadian Securities Regulators Provide Update on Consultation on Option of Discontinuing Embedded Commissions
12/8/2016Canadian Securities Administrators Publish Final Amendments Mandating a CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts and ETF Facts
12/8/2016Canadian Securities Regulators Publish Final Amendments Mandating a Summary Disclosure Document and Delivery Regime for Exchange-Traded Mutual Funds
12/7/2016Alberta Securities Commission and RCMP Unite to Fight Financial Crime
11/28/2016ASC finds Dwight Victor Spaetgens failed to comply with undertakings
11/25/2016ASC sanctions Nelson Peter Bradbury for breaching Alberta securities laws
11/24/2016Securities Regulators Seek Comment on Proposed Adoption of Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions
11/18/2016Canadian securities regulators release MFDA Oversight Review Report
11/17/2016Canadian Securities Regulators Publish Guidance for Portfolio Managers Working with Investment Dealers
  
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