Learn more about what the ASC is doing to support market participants and investors.
Through prompt, fair and visible enforcement action locally, in collaboration with the ASC's compliance divisions and with Canadian and foreign securities laws regulators and police forces, 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, you will find material relating to ASC staff allegations of breaches of Alberta securities laws, including final decisions and orders where breaches have been proven.
The following resources will help you find information about a person's or company's enforcement history in Alberta and in other Canadian provinces and territories:
* Please note that the information provided by these resources may not be comprehensive.
For more information about how our enforcement team collaborates with other jurisdictions across Canada, please check out the CSA Enforcement Report.
*For prior reports, please go to Reports & Publications.