Enforcement
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Enforcement 

Enforcement Staff receive and assess complaints concerning alleged misconduct in the capital markets, investigate possible breaches of the Alberta Securities laws, and conduct hearings before panels of the ASC and in the Provincial Court of Alberta to enforce those laws.

Once a hearing has been completed, enforcement orders and reasons for decision are issued to communicate the breaches and the consequences for those individuals and companies who have breached the Securities Act.

Decisions Pending

Hearings before the ASC generally occur in two phases.  The first phase deals with the merits of the allegations and the second phase deals with potential sanctions.

The merits phase of the following hearings has been completed and a decision is pending:

  • Peter J. Workum, Theodor Hennig
A merits decision has been issued in the following cases and the ASC panel will determine what, if any, sanctions are appropriate:
  • KCP Innovative Services Inc.
  • Lambert Lavallee