Enforcement Complaints

Welcome to the ASC's 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.

Please read the information below to ensure that the type of complaint you have is something that the ASC can help you with.

Suitable Complaints

  • Securities fraud
  • Investment fraud
  • Insider trading
  • Stock promotion
  • Selective disclosure
  • Unregistered individuals
  • Ponzi Schemes

Complaints for Other Organizations

You may also wish to review our FAQs in order to determine if your complaint is something we can look into.

If you feel you have a suitable complaint, or are uncertain, you have three options

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

Complete a simple initial complaint assessment

Initial Complaint

Complete a detailed complaint

File a Detailed

We recommend filling out a detailed complaint as this allows the ASC to better assess your complaint. With the simple initial complaint assessment, you may be asked for further details or to fill out the detailed complaint in order for us to accurately assess the situation.

When filing a complaint via phone, email or mail, please include as many of the details below as possible:
  • Name, phone and email address
  • What your complaint is about
  • When the incident took place (dates, times, etc.)
  • The steps you have taken during the course of the situation
  • Names and addresses of those involved, and your relationship to the company or individual at the source of the complaint
  • If you have any copies of letters, cancelled cheques, account statements, or other documents that will help explain your complaint and support your statements. You may be asked to provide these hard copy documents at a later date
  • Other relevant information that would be helpful to better understand your concerns

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 report.