October 23, 2020 is the deadline to provide feedback on the self-regulatory organization (SRO) framework consultation paper.
Learn more about what the ASC is doing to support market participants and investors.
Detailed tips from whistleblowers are needed to effectively investigate possible violations of Alberta securities laws. If you are submitting a tip about your employer (or an affiliate of your employer), you are encouraged to first report the misconduct internally to your employer before submitting it to the ASC.
Tips to the Office of the Whistleblower can confidentially be made by phone, by email or by mail. To prepare for submitting a tip please read ASC Policy 15-602 Whistleblower Program.
To submit a tip by phone, call 1-833-295-4387 (toll free).
To submit a tip by email or by mail, complete the Whistleblower Submission Form (Form A). This form can be downloaded and saved or printed. Email or mail your completed form and any supporting material to the ASC’s Office of the Whistleblower.
If supporting material is provided, please include:
Mail the printed and completed Whistleblower Submission Form (Form A) with all supporting documents and information to:
OWB – Confidential
Alberta Securities Commission
Suite 600, 250 – 5th Street
Calgary, Alberta, T2P 0R4
The Office of the Whistleblower will review all tips to ensure they fall under the scope of the program and the ASC's jurisdiction. If not, they may be referred to another regulatory or law enforcement agency with the whistleblower's consent. For example, tips related to criminal activities may be referred to law enforcement.
If more information is required, or upon your request, a representative from the Office of the Whistleblower will contact you soon after you submit your tip.
Download Whistleblower Submission Form (Form A)
The ASC accepts anonymous whistleblower tips. You can make an anonymous tip by leaving blank all contact information in the Whistleblower Submission Form (Form A), ensuring that no identifying information is included (such as an email address) when you submit the form.
However, to conduct an effective investigation, it may be necessary to obtain additional information from a whistleblower and an anonymous submission can make this difficult or impossible. For this reason, the ASC also allows anonymous whistleblower tips to be submitted by a lawyer on your behalf. This allows the ASC to contact your lawyer if additional information is required.