Enforcement Complaints

Welcome to the Alberta Securities Commission Enforcement Complaints system, a place where you can easily and securely file a complaint. If you have serious concerns about how your investments or securities have been handled, a company you have invested in, or you believe a company or individual has breached securities law, you’ve come to the right place.

Getting your money back
The ASC does not have the powers to recover funds for the complainants. The ASC cannot force someone to give money back, undo a transaction, provide advice on an investment, provide legal advice, or negotiate a settlement on the complainant’s behalf.

Updates to our complaint process
The ASC is working to update this complaints page and form to make it easier for you to report concerns pertaining to securities law breaches.

Effective April 04, 2023 we have disabled the account creation and login feature. If you previously came to this page and created an account , please don’t be alarmed.

You can either send us an email at complaints@asc.ca or simply complete the online concern form available here and reference your prior complaint.

Alternatively, you can call us at 403.355.3888, and one of our investigators will be happy to assist you.
Should you prefer to send us your concerns complaints via fax or mail, please send your fax to 403.297.2210, Attn: Assessment.
Our mailing address is: Alberta Securities Commission, Attn: Assessment, Suite 600, 250 5th Street SW, Calgary, AB, T2P 0R4.

If you feel you have a suitable complaint

Complete a complaint in order for us to accurately assess the situation.

File a Complaint
Not sure if the type of complaint you have is something that the ASC can help you with? Find out:
What is your complaint about?

Banks in Canada regulations is not within the ASC jurisdiction. Organizations that may help:

  • FCAC (consumer protection and market conduct)
  • OSFI (prudential regulation and financial stability)

Consumer fraud (e.g. buying fake brands, products on Kijiji, etc.) is not within the ASC jurisdiction. Organizations that may help:

CRA Scams is not within the ASC jurisdiction. Organizations that may help:

Most investment/financial advisors (registered representatives, dealing representatives) is not within the ASC jurisdiction. Organizations that may help:

This looks like something we can look into

File a Complaint

Insurance products is not within the ASC jurisdiction. Organizations that may help:

Most investment/financial advisors (registered representatives, dealing representatives) is not within the ASC jurisdiction. Organizations that may help:

This looks like something we can look into

File a Complaint

Lottery issues is not within the ASC jurisdiction. Organizations that may help:

This looks like something we can look into

File a Complaint

This looks like something we can look into

File a Complaint

This looks like something we can look into

File a Complaint

This looks like something we can look into

File a Complaint

This looks like something we can look into

File a Complaint

Trading issues is not within the ASC jurisdiction. Organizations that may help:

What does the ASC do when it receives a complaint?
If I file a complaint with the ASC, when can I expect to receive notification regarding the outcome?
How do I find out if there have been complaints or investigations about an individual or company?
Can I make an anonymous complaint?
How long do I have to make a complaint to the ASC?
How can I get my money back?

Whistleblower Program

We are committed to providing whistleblowers with an opportunity to provide information in a safe and secure environment. Visit the Office of the Whistleblower for more information and to submit a whistleblower tip.

 

Need Assistance?

Phone or email us to speak to a representative at 403.355.3888 or complaints@asc.ca.