Authorizations & Memorandums of Understanding

Securities Law & Policy

Authorizations: The ASC has delegated certain functions to certain members of ASC staff in the following Authorization Orders pursuant to sections 17(2) and 22(4) of the Securities Act (Alberta).

Document Title  Date Type  Date 
Omnibus Authorization by the Commission under Subsection 22(4) of the Securities Act Effective  02/01/2024
Omnibus Authorization by the Executive Director under Subsection 17(2) of the Securities Act
 Effective  01/31/2024
Authorization by the Commission under Subsection 22(1) of the Securities Act – ASC Rule 15-501 Rules of Practice and Procedure for Commission Proceedings Effective   12/18/2009 

Memoranda of Understanding: The ASC has arrangements in place with other regulatory authorities, such as Memoranda of Understanding, which help facilitate cooperation, coordination and information sharing among regulators.

Document Title  Date Type  Date 
Memorandum of Understanding regarding Oversight of the Canadian Investment Regulatory Organization (CIRO)
 Effective
 06/01/2023
Memorandum of Understanding regarding Oversight of the Canadian Investor Protection Fund (CIPF)
 Effective 01/01/2023
Memorandum of Understanding Concerning Cooperation Arrangements for Central Counterparties - ESMA (European Securities and Markets Authority) 
 Effective 02/25/2022
Memorandum of Understanding Respecting the Oversight of Designated Benchmarks and Benchmark Administrators
 Effective
 05/19/2021
Information Sharing Memorandum of Understanding National Futures Association (NFA) Effective 10/07/2020
Fintech - Innovation Functions Co-operation Agreement _Taiwan Effective  06/08/2020 
Fintech - Innovation Functions Co-operation Agreement_Financial Conduct Authority (FCA)  Effective  12/12/2017 
Fintech - Innovation Functions Co-operation Agreement_ Australian Securities and Investments Commission (ASIC)  Effective  12/11/2017 
Fintech - Innovation Functions Co-operation Agreement_France Authorite des marches financiers
 Effective   12/07/2017 
Fintech - Innovation Functions Co-operation Agreement_Abu Dhabi  Effective   10/17/2017 
Fintech - Innovation Functions Co-operation Agreement (Singapore)  Effective  10/31/2019 
Fintech - Innovation Functions Co-operation Agreement - Hong Kong Securities and Futures Commission
 Effective 06/30/2021
Memorandum of Understanding Respecting the Oversight of Clearing Agencies, Trade Repositories and Matching Service Utilities  Effective   12/03/2015
Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (Superintendencia de Valores y Seguros)  Effective  02/23/2015 
Memorandum of Understanding Concerning Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Covered Entities (United States Commodity Futures Trading Commission "CFTC")   Effective 03/25/2014 
Memorandum of Understanding Bank of England
 Effective 26/06/2013
International Information Sharing Memorandum of Understanding (FINRA)  Effective  07/25/2012 
Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Regulated Entities (The United States Securities and Exchange Commission "SEC") Effective  09/19/2011 
Memorandum of Understanding Respecting the Oversight of Exchanges and Quotation and Trade Reporting Systems  Effective  09/01/2020 
Mutual Reliance Review System  Effective  01/01/2000 
EU Administrative Arrangement Notice 
 Effective  15/10/2019
Notice of Memorandum of Understanding relating to the Mutual Reliance Review System Effective  10/14/1999