Learn more about what the ASC is doing to support market participants and investors.
Nov 03, 2016
CALGARY – November 3, 2016 – The Alberta Securities Commission (ASC) today announced an open forum to further explore issues raised in CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients, which proposes regulatory action to improve the client-registrant relationship. This session is being held as part of our ongoing consultation process on this matter.
The dates for sessions to be held by other CSA jurisdictions were announced in a previous news release on September 22, 2016.
The session will take place on Friday, December 9, 2016 from 1 to 3 p.m. at Centennial Place,
250- 5th Street SW, 3rd floor Conference Centre in Calgary.
All interested parties are invited to participate, however advance registration is required. A transcript will be made available on the ASC’s website at a later time.
Additional details regarding the event will be provided to those who have registered closer to the event date.
The consultation paper, which includes a list of 68 consultation questions, can be found here.
The ASC is the regulatory agency responsible for administering the province's securities laws. It is entrusted with fostering a fair and efficient capital market in Alberta and with protecting investors. As a member of the Canadian Securities Administrators, the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets.
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For more information:
For Media Inquiries:
Nicole Tuncay Senior Communications Advisor 403-297-4008
For Investor Inquiries:
ASC Public Inquiries Toll Free: 1-877-355-4488