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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) 592-8186
media@asc.ca

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Date
Title
8/4/2017ASC alleges Brian Arthur Kitts and Vesta Capcorp Inc. perpetrated a fraud on investors
7/31/2017Canadian securities regulators publish annual report outlining investor education campaigns and activities
7/27/2017Canadian Securities Regulators Publish Final Amendments to Custody and Other Requirements for Dealers, Advisers and Investment Fund Managers
7/27/2017Canadian securities regulators publish guidance on conflict of interest transactions
7/20/2017Securities Regulators Adopt Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions
7/13/2017Canadian securities regulators caution industry about false and misleading registration applications and outline changes to trading supervision reports
7/13/2017Canadian securities regulators caution industry about false and misleading registration applications and outline changes to trading supervision reports
7/6/2017Canadian securities regulators seek comments relating to designated rating organizations
7/6/2017Canadian securities regulators seek comments relating to designated rating organizations
7/4/2017Canadian securities regulators publish IIROC oversight review report
7/4/2017Canadian securities regulators publish IIROC oversight review report
6/29/2017Canadian securities administrators propose a new prospectus exemption for the resale of securities of a foreign issuer
6/29/2017Canadian securities administrators propose a new prospectus exemption for the resale of securities of a foreign issuer
6/19/2017ASC sanctions Ferlyn Chmelyk and associates for breaching Alberta securities laws
6/19/2017ASC panel issues decision in PointNorth Capital application
6/16/2017Jeremy (Jay) Peers sentenced in Provincial Court after pleading guilty to fraud and other charges
6/9/2017Exempt Market Dealer agrees to settlement addressing past and future conduct
6/8/2017Publication of a CSA Multilateral Staff Notice regarding the filing of the report by the auditor required by National Instrument 81-102 Investment Funds
6/8/2017Canadian Securities Regulators Seek Comment on Proposed Amendments to Report of Exempt Distribution
6/8/2017ASC sanctions Joseph Anton Kostelecky for breaching Alberta securities laws
5/26/2017Kenneth Charles Fowler sentenced in Provincial Court
5/25/2017ASC announces the appointment of three new commission members
5/23/2017ASC issues Interim Cease Trade Order against OmniArch Capital Corporation
5/10/2017ASC releases results of exempt market dealer sweep
4/28/2017ASC suspends registration of Walton Capital Management Inc.
  
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