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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
1/15/2019ASC issues Variation Order relating to Prize Mining Corp.
1/3/2019The Alberta Securities Commission issues an Interim Cease Trade Order against certain shareholders of Prize Mining Corp.
1/2/2019The Alberta Securities Commission warns investors of the top five investment risks in 2019
12/21/2018ASC alleges Edmonton exempt market dealing representative improperly sold investments
12/20/2018West High Yield Resources settles with the ASC for misleading disclosure
12/18/2018Canadian securities regulators publish trading fee rebate pilot study for comment
12/14/2018Investor Alert: ASC warns public about Affiliated Trade Group
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
  
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