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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).

Enforcement at the ASC

The Enforcement Division enforces Alberta securities laws by discovering, investigating, and prosecuting breaches of those laws with a view to both stopping current misconduct and preventing future misconduct. Through prompt, fair and visible enforcement action locally, and through collaboration with the ASC’s compliance divisions and with securities laws regulators and police forces, Canadian and foreign, the Enforcement Division seeks to protect the investing public, foster investor confidence, and promote the integrity of the Alberta capital market.

Under Notices, Decisions & Orders Relating to Enforcement, you will find material relating to ASC Staff allegations of breaches of Alberta securities laws, including final decisions and orders where breaches have been proved.

To find information about a person's or company's enforcement history in Alberta and in other Canadian provinces and territories, search these resources:

  • Disciplined List - maintained by the Canadian Securities Administrators (CSA)
  • National Cease Trade Orders Database – maintained by the CSA
  • CanLII – a not-for-profit organization managed by the Federation of Law Societies of Canada that provides securities commissions’ decisions and orders on its website

* Please note that the information provided by these resources may not be comprehensive.

See Notices, Decisions & Orders Relating to Enforcement