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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June 2019

ASC Consultation Paper 11-701 Energizing Alberta's Capital Market
CSA Staff Notice 31-354 Suggested Practices for Engaging with Older or Vulnerable Clients
ASC Notice 33-706 Policy and Procedures Manual – Reference Resource for Exempt Market Dealers (Including Those with Multiple Registration Categories)

May 2019

CSA Notice and Request for Comment Proposed Amendments relating to At-the-Market Distributions
CSA Notice and Request for Comment Proposed National Systems Renewal Program Rule and Related Amendments
Proposed Repeal and Replacement of Multilateral Instrument 13-102 System Fees for SEDAR and NRD

March 2019

CSA Staff Notice 21-326 Guidance for Reporting Material Systems Incidents
CSA Staff Notice 21-325 Follow-up on Marketplace Systems Incidents
CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments

February 2019

ASC Notice Amendments to ASC Rule 15 501 Rules of Practice and Procedure for Commission Proceedings