Enforcement

The Enforcement division enforces Alberta securities laws by discovering, investigating, and prosecuting breaches of those laws with the goal to both stopping current misconduct and preventing future misconduct.

 

Through prompt, fair and visible enforcement action locally, in collaboration with the ASC's compliance divisions and with Canadian and foreign securities laws regulators and police forces, the Enforcement division seeks to protect the investing public, foster investor confidence, and promote the integrity of the Alberta capital market.

Under Notices, Decisions & Orders, you will find material relating to ASC staff allegations of breaches of Alberta securities laws, including final decisions and orders where breaches have been proven.

The following resources will help you find information about a person's or company's enforcement history in Alberta and in other Canadian provinces and territories:

  • Disciplined List - maintained by the Canadian Securities Administrators (CSA)
  • National Cease Trade Orders Database – maintained by the CSA
  • CanLII – a not-for-profit organization managed by the Federation of Law Societies of Canada that provides securities commissions' decisions and orders on its website

* Please note that the information provided by these resources may not be comprehensive.