The ASC registers market participants that are in the business of trading and advising in securities and managing investment funds, performs compliance examinations of registrants, and reviews exemption applications. ASC Staff conduct oversight of self-regulatory organizations, the TSX Venture Exchange and energy exchanges in Alberta such as the Natural Gas Exchange Inc.
Decisions & Orders Relating to Registrants
The ASC issues decisions and orders relating to exchanges, self-regulatory organizations, registrants and those seeking registration.
See Decisions & Orders Relating to Registrants
In addition, you can consult, without cost, CanLII for decisions and orders issued by the ASC and its counterparts in other Canadian provinces and territories.
Exemption Orders Relating to Registrants
The ASC may, in appropriate circumstances, issue orders granting exemptions to particular applicants from specified requirements of securities laws, and orders granting approval or recognition to various types of exchanges or self-regulatory organizations
See Exemption Orders Relating to Registrants