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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:
* 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.