What does the ASC do?
We aim to be a practical, intelligent, best-in-class regulator and we strive to protect investors from improper, misleading or fraudulent practices. The Securities Act (Alberta) ensures that Alberta’s capital market works for participants and that investors have timely, accurate information on which to base their investment decisions. It also ensures that those who sell securities in Alberta are registered and that they conduct themselves according to applicable laws and professional standards.
As a member of the Canadian Securities Administrators (CSA), the council of the securities regulators of Canada’s provinces and territories, we work to improve, coordinate and harmonize the regulation of Canada’s capital market.
We regulate all securities-related activity both directly and indirectly through self-regulatory organizations (SROs) which are regularly reviewed.
We are dedicated to protecting investors by detecting, disrupting, investigating and prosecuting companies or people violating Alberta’s securities laws. ASC staff use complaints filed by the public as well as other means to identify potential breaches of securities laws, and take enforcement action including investigating and prosecuting either administratively or quasi-criminally, as appropriate, to protect investors and the integrity of Alberta’s capital market.
A core responsibility of our organization is to educate investors and provide Albertans with unbiased tools and resources to empower them to both make informed investment and financial decisions and to recognize and avoid fraud. From this website to webinars, presentations and reports, we strive to educate investors and other market participants across Alberta.