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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
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.
4/27/2017Canadian securities regulators outline steps to support transition to T+2
4/26/2017Canadian securities regulators propose to ban advertising, offering, selling and trading in binary options
4/25/2017Canadian securities regulators seek comment on potential oversight requirements for foreign audit firms
4/6/2017Canadian securities regulators seek comments on reducing regulatory burden for non-investment fund reporting issuers
4/6/2017Canadian securities administrators publish summary of the roundtable on response to cyber security incidents
4/6/2017ASC extends interim order against Reporting Insiders of Saint Jean Carbon Inc.
4/4/2017Canadian securities regulators seek input on proposed business conduct rules for derivatives dealers and advisers
3/30/2017Canadian Securities Administrators Renew Term of Chair and Vice-Chair
3/23/2017Frozen funds from Prospera Mortgage and Prosperity Development to be distributed to investors
3/23/2017Edmonton man settles with ASC for trading shares on a tip from a friend
3/22/2017ASC issues Interim Order against Reporting Insiders of Saint Jean Carbon Inc.
3/22/2017Alberta Securities Commission named one of Alberta’s top employers for third consecutive year
3/21/2017Canadian securities regulators announce climate change disclosure review project
  
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