How do I submit a whistleblower tip?

Enforcement at the ASC

Detailed information helps the ASC assess and investigate possible breaches of Alberta’s securities

You can submit a confidential whistleblower tip by phone, by email or by mail. You can also submit a tip anonymously.

Before submitting a tip, please review ASC Policy 15-602 Whistleblower Program.

What should I include with my tip?

Please provide as much detail as possible, including:

  • A description of the potential misconduct.
  • The names of individuals or organizations involved.
  • When the misconduct occurred (or may occur).
  • Any supporting documents or evidence available.
  • Whether you have reported the matter to anyone else and any action that was taken.
  • Your contact information (unless you choose to remain anonymous).

You will also be asked to confirm that the information you provide is accurate and truthful to the best of your knowledge.

The ASC can only investigate matters that fall within Alberta securities laws. In some cases, and with your consent, your information may be referred to another regulatory or law enforcement agency.

For more information on what to include with your tip, visit Office of the Whistleblower FAQ.

Submit by phone

  • To submit a tip by phone, call 1-833-295-4387 (toll free).

Submit by email or mail

Email submissions:

  • Download and save the form, as you are working on it.
  • Email your form and any supporting material to [email protected]
  • Supporting material, up to a maximum of 20 MB can be attached to an email submission. If the total size of your files is greater than 20 MB, you can submit the additional documents in another email(s). Please ensure any additional emails reference the original submission. You can also mail your submission and supporting material, either printed or on an electronic storage device such as a USB thumb drive.

Mail submissions:

  • Mail the printed and completed Whistleblower Submission Form (Form A) with all supporting documents and information to:

    OWB – Confidential
    Alberta Securities Commission
    Suite 600, 250 – 5th Street
    Calgary, Alberta, T2P 0R4

If more information is required, or upon your request, a representative from the Office of the Whistleblower will contact you soon after you submit your tip.

Download Whistleblower Submission Form (Form A)

Can I submit a tip anonymously?

The ASC accepts anonymous whistleblower tips. You can make an anonymous tip by leaving blank all contact information in the Whistleblower Submission Form (Form A), ensuring that no identifying information is included (such as an email address) when you submit the form.

However, to conduct an effective investigation, it may be necessary to obtain additional information from a whistleblower and an anonymous submission can make this difficult or impossible. For this reason, the ASC also allows anonymous whistleblower tips to be submitted by a lawyer on your behalf. This allows the ASC to contact your lawyer if additional information is required.