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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).


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Dec 06

Alberta Court of Appeal issues judgement on Dwight Victor Spaetgens’ appeal of ASC decisions

Court dismisses appeal on finding of illegal trading, reduces sanctions imposed by ASC panel CALGARY - December 5, 2018 – In a memorandum of judgment, the Alberta Court of Appeal dismissed two grounds of appeal by Dwight Victor Spaetgens and allowed a third. Spaetgens had appealed the November 7, 2016 and March 8, 2017 decisions of the Alberta Securities Commission (ASC) panel that found him to be in breach of the Securities Act (Alberta) and imposed various sanctions. He also appealed a May 5, 2016 decision of the ASC that dismissed his request for an adjournment of the merits hearing. The Court upheld the finding by the ASC that Spaetgens engaged in illegal trading in breach of Alberta securities laws and acted contrary to the public interest. The Court also confirmed that the ASC did not err in denying Spaetgens’ adjournment application. In allowing the appeal on sanction, the Court lowered the administrative penalty to $10,000 and reduced the duration of the bans against Spaetgens holding the position of officer or director and trading in securities to 10 years (the ASC orders were $40,000 and 15 years, respectively). The Court did not change the ASC`s costs award against Spaetgens of $65,000. A copy of the memorandum of judgement is available at The ASC is the regulatory agency responsible for administering the province's securities laws. It is entrusted to foster a fair and efficient capital market in Alberta and to protect investors. As a member of the Canadian Securities Administrators, the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets. - 30 - For further information please contact:​ Read more

Investor education 

It’s legal now…but does that mean you should invest in it? Buyer beware – cannabis industry investments

Cannabis is now legal in Canada! But before you get caught up in the ‘high’ of investing in this emerging market, take time for sober thought and thoroughly research the opportunity. Remember, not all cannabis companies are equal – buyer beware!

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Investing 101 Course

If you are an investor or are thinking about investing, this plain-language, non-promotional course provides you with an overview of investing. Gain basic knowledge to make a well-informed decision when you are presented with an investment opportunity.

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Family, Friends and​​ Business Associates (FFBA) Review

We are conducting a review of the FFBA prospectus exemption. The intent of this review is to help the ASC better understand the use of the exemption. We have selected a random sample of investors who will receive our questionnaire shortly.

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