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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).

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
12/6/2018 Alberta Court of Appeal issues judgement on Dwight Victor Spaetgens’ appeal of ASC decisions
11/29/2018Canadian securities regulators caution issuers about problematic promotional activities
11/22/2018Alberta Securities Commission adopts blanket order facilitating access to capital for community economic development corporations
11/20/2018ASC announces the addition of a whistleblower program to its expanding enforcement toolbox
11/13/2018ASC finds that Vernon Ray Fauth perpetrated a fraud on investors
11/5/2018Canadian securities regulators encourage investors to look out for ETF Facts
10/19/2018Canadian securities regulators issue guidance regarding disruption of mail service
10/18/2018Canadian securities regulators publish details of market disruption coordination process
10/10/2018Canadian securities regulators publish guidance on disclosure expectations for cannabis issuers
10/4/2018Canadian securities regulators publish amendments to finalize Alternative Mutual Funds Framework
10/2/2018Canadian securities regulators highlight cross-country activities for Investor Education Month and World Investor Week
9/27/2018Canadian securities regulators release fourth review regarding women on boards and executive officer positions
9/27/2018Alberta’s largest companies continue to report highest participation of women on boards
9/27/2018Former Calgary broker settles with ASC
9/26/2018Second-annual ASC Connect conference speakers and agenda revealed
9/17/2018CSA appoints new Secretary General
9/13/2018Canadian securities regulators propose rules to prohibit certain embedded commissions
9/13/2018 Canadian securities regulators announce agreement with Kx to deliver advanced post-trade analysis
9/13/2018ASC seeks comment on Blanket Order that would facilitate access to capital for community economic development corporations
9/10/2018Bahamian Broker Agrees to Settlement for Unregistered Trading
9/6/2018Canadian securities regulators propose rule regarding non-GAAP and other financial measures
8/27/2018JSOT criminally charges Shaun Wayne Howell with fraud and theft
8/23/2018Canadian securities regulators issue guidance on bail-in debt regime
8/20/2018ASC concludes Settlement Agreement with Shane David Yawrenko and Umbrella Merchant Services Inc.
8/15/2018ASC panel dismisses application for Interim Orders against Marc Culver Cohodes
  
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