Enforcement Complaints

Welcome to the Alberta Securities Commission Enforcement Complaints system, a place where you can easily and securely file a complaint or view any previously saved complaints. If you have serious concerns about how your investments or securities have been handled, a company you have invested in, or you believe a company or individual has breached securities law, you’ve come to the right place.

Getting your money back
If you have a dispute about a registered person or firm that may have acted inappropriately (for example, by recommending investments that are unsuitable for you based on the information you gave them) and you have lost money that you wish to get back, you can submit a complaint to the Ombudsman for Banking Services and Investments (OBSI). OBSI is a free and independent service for resolving banking and investment disputes between participating firms and their clients and can recommend compensation of up to $350,000. For information on how to make a complaint to OBSI, see the process to get your money back.

If you feel you have a suitable complaint

Complete a complaint in order for us to accurately assess the situation.

File a Complaint
Not sure if the type of complaint you have is something that the ASC can help you with? Find out:
What is your complaint about?

Banks in Canada regulations is not within the ASC jurisdiction. Organizations that may help:

  • FCAC (consumer protection and market conduct)
  • OSFI (prudential regulation and financial stability)

Consumer fraud (e.g. buying fake brands, products on Kijiji, etc.) is not within the ASC jurisdiction. Organizations that may help:

CRA Scams is not within the ASC jurisdiction. Organizations that may help:

Most investment/financial advisors (registered representatives, dealing representatives) is not within the ASC jurisdiction. Organizations that may help:

This looks like something we can look into

File a Complaint

Insurance products is not within the ASC jurisdiction. Organizations that may help:

Most investment/financial advisors (registered representatives, dealing representatives) is not within the ASC jurisdiction. Organizations that may help:

This looks like something we can look into

File a Complaint

Lottery issues is not within the ASC jurisdiction. Organizations that may help:

This looks like something we can look into

File a Complaint

This looks like something we can look into

File a Complaint

This looks like something we can look into

File a Complaint

This looks like something we can look into

File a Complaint

This looks like something we can look into

File a Complaint

Trading issues is not within the ASC jurisdiction. Organizations that may help:

What does the ASC do when it receives a complaint?
If I file a complaint with the ASC, when can I expect to receive notification regarding the outcome?
How do I find out if there have been complaints or investigations about an individual or company?
Can I make an anonymous complaint?
How long do I have to make a complaint to the ASC?

Whistleblower Program

We are committed to providing whistleblowers with an opportunity to provide information in a safe and secure environment. Visit the Office of the Whistleblower for more information and to submit a whistleblower tip.

 

Need Assistance?

Phone or email us to speak to a representative at 403-355-3888 or complaints@asc.ca.