Alberta Securities Commission

To Whom Does This Apply?

Investors, issuers and anyone selling securities.

Summary

The Alberta Securities Commission (ASC) is a self-funded provincial corporation that regulates the capital market in Alberta and balances the interests of investors, issuers and persons selling securities. It administers the Securities Act (Alberta) , Securities Regulation and Alberta Securities Commission Rules (General), which facilitate a fair and efficient capital market with a high level of investor confidence.

ASC regulatory functions primarily address disclosure and other market conduct issues. The Commission provides public access to certain financial and corporate information filed by issuers. The Commission also registers and monitors persons and companies trading in securities or commodity futures. It takes enforcement action against violators under the Securities Act (Alberta).

• Alberta Securities Commission

DISCLAIMER
Information contained in this section is of a general nature only and is not intended to constitute advice for any specific fact situation. For particular questions, the users are invited to contact their lawyer. For additional information, see contact(s) listed below.

Alberta Contact(s):
Alberta Securities Commission
4th floor
Alberta Stock Exchange Tower
300 - 5 Avenue SW
Calgary, Alberta  T2P 3C4
Telephone: (403) 297-6454
Fax: (403) 297-6156
Toll-free (information): 1-877-355-0585
E-mail: inquiries@seccom.ab.ca
Web site: http://www.albertasecurities.com/