Enforcement

Enforcement at the ASC
The Enforcement division enforces Alberta securities laws by discovering, investigating and prosecuting breaches of those laws with a view to both stopping current misconduct and preventing it in the future. 

 

This division’s goal is to protect investors and foster the integrity of Alberta’s capital market through deterrence, disruption and accountability. It engages in proactive, fair and visible enforcement action locally and collaborates with the Commission’s compliance divisions, other regulators, and Canadian and foreign police forces.

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.

For more information about how our enforcement team collaborates with other jurisdictions across Canada, please check out the CSA Enforcement Report.

*For prior reports, please go to Reports & Publications.