Accessing Records
Accessing documents in the custody and control of ASC
A large number of ASC records are available to the public without making a request under the Access to Information Act (“ATIA”). Please use this website to determine if the record you are looking for has already been published. If not, the ASC will make reasonable efforts to provide you with the information you are requesting in accordance with the provisions of the ATIA. The ATIA establishes certain rights for you to access documents in the custody and control of the ASC, subject to exceptions for the purposes of protecting the privacy rights of other individuals and third parties as well as confidential information.
Please note that pursuant to section 45 of the Securities Act, any information, evidence, or other record acquired by the ASC pursuant to an investigation is confidential, and the ASC is authorized to refuse the release of any information or record related to any current or past investigation.
Personal Information Request
If you are requesting your own personal information (as defined in the ATIA):
- You must provide proof of your identity before records containing your personal information are released to you. There is no initial fee for accessing your own information. However, if the cost of photocopying documents exceeds $10, you will be notified of additional fees.
- If you are requesting personal information of another individual, you must provide proof that you can legally act on behalf of that individual.
General Information Request
If you are requesting records or other information to which the ATIA applies, the following fees are required (no GST required):
- Initial non-refundable Fee of $25
- Additional fees – in addition to the Initial Fee of $25, if the time and costs involved in locating and supplying the requested documents is estimated to exceed $150.00, the ASC may charge additional fees. The ASC will provide you with an estimate prior to charging those costs.
Method of Payment
The ASC accepts payment in the following forms:
- Cheque made payable to Alberta Securities Commission
- Visa OR MasterCard (payment can be made upon form submission)
Fees are not refundable. The use of your credit card number for online payment of any fees indicates your acceptance of and compliance with all payment terms and conditions of TD Merchant Services.
How long will ASC take to respond?
The ATIA requires that the information you are requesting is provided to you within 30 business days after receiving the request form and, when applicable, payment of the initial fee. The ASC will make every reasonable effort to comply with this requirement. Should the ASC require additional time to respond to your request, you will be notified in accordance with section 16 of the ATIA.
To proceed with your search request, please fill out this form.