Learn more about what the ASC is doing to support market participants and investors.
The Office of the Whistleblower is part of the Enforcement division at the ASC. It was created in November 2018 when the ASC announced the adoption of ASC Policy 15-602 Whistleblower Program, following amendments to the Securities Act (Alberta). The Office of the Whistleblower was created to encourage compliance with the Securities Act (Alberta) and enable whistleblowers to provide critical information about securities misconduct without fear of reprisal and with heightened confidentiality protections.
Whistleblowers provide a valuable public service by providing information about securities misconduct that would otherwise be difficult to detect. New mechanisms and processes have been implemented to simplify reporting for whistleblowers, and new legislative provisions strengthen confidentiality, prohibit reprisals or retaliation and allow the ASC to take enforcement action in the event a wrongful reprisal does occur.
Tips can be made by phone, by email or by mail.