ASC Proceedings
ASC hearings may include enforcement proceedings, adjudication relating to contested take-over bids, and reviews and appeals of decisions made by ASC staff, exchanges or self-regulatory organizations.
ASC hearings are generally open to the public. If you are a party to, or otherwise involved in an ASC hearing, click here for important information.
In situations where a person or company wishes, or is required to serve a document on the ASC, Alberta securities laws require that the document be personally delivered, or delivered by courier or registered mail, to the offices of the Commission at:
Centennial Place, West Tower
600, 250 - 5th St SW,
Calgary, AB T2P 0R4
The document must be marked or addressed to the attention of the Secretary of the Commission.
Click here to view status of current and scheduled ASC hearings. COVID Update: All hearings are being reviewed and considered on a case-by-case basis.
The following information pertains to past ASC hearings. These may include:
- Notices, Decisions & Orders Relating to Enforcement (matters including alleged and proved capital-market misconduct and related appeals)
- Decisions & Orders Relating to Issuers (matters including disclosure filing deficiencies, exemptions for issuers and take-over bids)
- Decisions & Orders Relating to Registrants (matters including exemptions for applicants, exchange and self-regulatory organization issues and registration issues)