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.
Disclaimer: The following information is intended only as general introductory information to address some common questions. It is not intended to be and must not be relied on as legal advice. Please refer to the specific provisions of Alberta securities laws. We encourage you to seek legal advice from legal counsel familiar with Alberta securities laws.
Many factors are impacting and changing Alberta’s capital market and economy. Efforts are being taken to both strengthen and help expand and diversify the Alberta economy.
There are a multitude of parties engaged in these strengthening and diversification efforts. The Alberta Securities Commission (ASC) is Alberta’s securities regulator. We are responsible for protecting investors and fostering a fair and efficient capital market.
The ASC supports these efforts by ensuring appropriate securities regulation that protects investors, and fosters a vibrant capital market that facilitates access to capital by Alberta businesses and investment opportunities for Alberta investors. Our goal is to find the right balance, appropriately protecting investors, without unduly burdening the businesses trying to raise capital to build and grow.
By engaging with market participants, ASC staff can better understand the challenges small businesses face in accessing capital.
The ASC’s various external advisory committees, including its New Economy Advisory Committee, helps the ASC build connections in the community and explore how securities regulation can evolve to support economic diversification, while still providing appropriate investor protection.
There are a variety of ways in which an entrepreneur may obtain the capital needed to operate their business, such as:
As Alberta's securities regulator, the ASC’s focus is on the latter, raising money through the sale of securities.
If you are trading any of the broad array of products that constitute securities or derivatives, then securities law applies to you!
If the information provided doesn’t answer your question, please send us an email at New.Economy@asc.ca. We will try to address your question.
We appreciate your questions and feedback and will use them to help improve the content provided.