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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).

Decisions & Orders at the ASC

Alberta Securities Commission Decisions and Orders 

What makes something an enforcement matter? What does it mean when a company is cease-traded? Not all decisions and orders of the ASC mean the same thing, but we can h​elp you understand the differences.

In this section you will find notices, decisions, orders and rulings that relate to:

  • enforcement matters including alleged and proved capital-market misconduct and related appeals;
  • issuer matters including disclosure filing deficiencies, exemptions for issuers and take-over bids; and
  • registrant matters including exemptions for applicants, exchange and self-regulatory organization issues and registration issues.

Enforcement Decisions & Orders

Unpaid Orders and sanctions

Check whether a company or individual offering an investment has been the subject of enforcement action and verify whether they have unpaid orders.

See Notices, Decisions & Orders

File a Complaint

Investor Complaints

Are you concerned about the way your investments have been handled or about a company you have invested in, or do you believe securities laws have been breached?


File a Complaint