Registrant & Market Regulation

Registering with the ASC for the First Time?

The ASC registers market participants that are in the business of trading and advising in securities and managing investment funds, performs compliance examinations of registrants, and reviews exemption applications. ASC staff conduct oversight of self-regulatory organizations, the TSX Venture Exchange and energy exchanges in Alberta such as the Natural Gas Exchange Inc.

A person or company shall not act as a dealer, adviser or investment fund manager without being registered in accordance with securities laws in Alberta (subject to relying on an exemption).

To determine whether registration is required as a dealer or adviser, a firm or individual must consider whether their activities amount to trading or advising for a business purpose. There is no "business trigger" for registration as an investment fund manager. If a firm engages in investment fund manager activities, it must register.


Please review this guide for further information about how to register a firm with the Alberta Securities Commission. The guide also includes registration links that may assist during the application process.

View and print the PDF guide

National Registration Database inquiries:

Email: ASC.NRD.Inquiries@asc.ca
Phone: (403) 297-2069

 

Frequently Used Instruments, Policies and Notices

11-201 Electronic Delivery of Documents [NP]  
23-102 Use Of Client Brokerage Commissions [NI]  
31-323  Guidance Relating to the Registration Obligations of Mortgage
Investment Entities [CSA Notice] 
 
31-325 Marketing Practices of Portfolio Managers [CSA Notice] 
33-315 Suitability Obligation and Know Your Product [CSA Notice]  
52-107
Acceptable Accounting Principles and Auditing Standards [NI]  
81-102 Mutual Funds [NI]  
81-106      Investment Fund Continuous Disclosure [NI]  

See all current Regulatory Instruments