Regulatory Updates

What's new in regulation at the ASC? Check back often for the latest updates.

NOTE: Until rules or instruments become effective as evidenced by their publication in The Alberta Gazette (see section 225 of the Securities Act (Alberta)), they are subject to non-substantive changes. Should such changes occur, a revised version of the relevant rule or instrument will be published on this website.

Industry and public consultation is an important part of the regulatory process and provides good input into new or revised legislation. When the ASC or the Canadian Securities Administrators (CSA) believes new or revised regulation is required, they will typically publish the proposed new documents for public comment.

This icon identifies proposals that are currently available for public comment.

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March 2019

CSA Second Notice and Request for Comment Proposed Amendments to NI 45-106 and NI 31-103
CSA Staff Notice 21-326 Guidance for Reporting Material Systems Incidents
CSA Staff Notice 21-325 Follow-up on Marketplace Systems Incidents
CSA Notice and Request for Comment Proposed National Instrument 25-102 Designated Benchmarks and Benchmark Administrators and Companion Policy
Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms
CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments
Joint CSA/IIROC Consultation Paper 23-406 Internalization within the Canadian Equity Market
Continuation of ASC Blanket Order 31-505 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions

February 2019

CSA Staff Notice 45-324 Update on the Start-up Crowdfunding Registration and Prospectus Exemptions
ASC Notice Amendments to ASC Rule 15 501 Rules of Practice and Procedure for Commission Proceedings