Authorizations & MOUs 

The ASC has the power to recognize an organization or individual to operate or act in a specific capacity.  For example, the ASC recognizes the TSX Venture Exchange as an exchange.  This Recognition allows the TSX Venture Exchange to operate as an exchange (a forum for trading securities).

The ASC has issued the following recognitions and authorizations:

ED Authorization Order Dec 14.pdfAuthorization by the Executive Director under Subsection 17(2) of the Securities ActEffective 14 Dec 2007Authorization
ED Authorization Order Dec 10.pdfAuthorization by the Executive Director under Subsection 17(2) of the Securities ActEffective 10 Dec 2007Authorization
1997952 v3 -ED Authorization eff Nov 20, 2007.pdfAuthorizations by the Executive Director under Subsection 17(2) of the Securities ActEffective 20 Nov 2007Authorization
October 2007 COMM AUTH.pdfAuthorization by the ASC under Subsection 22(4) of the Securities ActEffective October 22, 2007Authorization
TSX_Venture_Exchange_Inc._ORDER.pdfTSX Venture Exchange Inc. OrderPublished September 8, 2006order
July 2006 ED AUTH ORDER.pdfAuthorizations by the Executive Director under Subsection 17(2) of the Securities ActEffective July 16, 2006Authorization
ASC_re_CPC_op_agrmnt_May_6-02.pdfNotice regarding capital pool companiesPublished 06 May 2002ASC Notice
2752842 v1 - ASC NOTICE RECOGNITION ORDER.pdfRecognition of Exchange for Various Provisions of Albert Securities LawsAmended 1 Feb 2008ASC Notice
452001v1 - Nov 23-1999-ida recog.pdfInvestment Dealers Association of CanadaEffective 23 Nov 1999Recognition
_1022208v7_TSX_Venture_Ex_Recog_Order.pdfTSX Venture Exchange Inc. continued recognition (formerly Canadian Venture Exchange Inc.)03 Sep 2002Recognition
_907801_v1_-_FINAL_ALBERTA_STYLE-_RECOGNITION_ORDER_-_RS_I.pdfMarket Regulation Services Inc.Published 13 Feb 2002Recognition
_1061634 v1 - NOTICETSXV RECOG AND APPENDICES.pdfRecognition of TSX Venture Exchange Inc.As at 13 Sep 2002Recognition
_917264_v1_-_RS_INC.pdfMarket Regulation Services Inc.Published 15 Feb 2002ASC Notice
_709842.2_-_MFDA_Recognition_Order.pdfMutual Fund Dealers Association of Canada [revoked May 18, 2004]As at Apr 10/01Recognition
TSX_Inc._Exemption_Order_-_Sep_2-02.pdfTSX Inc.As at Sep 3/02Exemption from Recognition
Blanket_Order_-_cvx_-nov26-99a.pdfCanadian Venture Exchange Inc. (now TSX Venture Exchange Inc.) [revoked]As at 26 Nov 1999Recognition
ASC_Notice_11-701.pdfAuthorization by the ASC under subsection 14(4) now 22(4) of the Securities Act (Alberta) and ASC Notice 11-701Published 21 Jul 2002Authorization
ASC_Notice_11-705.pdfAuthorization by the ASC under subsection 22(4) of the Securities Act (Alberta) and ASC Notice 11-705Published 23 Sep 2002Authorization
ASC_Notice_11-702.pdfAuthorizations by the Executive Director under Subsections 13.1(2)now 17(2) of the Securities Act (Alberta) and ASC Notice 11-702Published  12 Oct 2000Authorization
ASC_Notice_11-703.pdfAuthorizations by the Executive Director under Subsection 13.1(2) now 17(2) of the Securities Act (Alberta) and ASC Notice 11-703Published 01 Feb 2001Authorization
ASC_Notice_11-704.pdfAuthorizations by the Executive Director under Subsection 13.1(2) now 17(2) of the Securities Act (Alberta) and ASC Notice 11-704Published 05 Jul 2001Authorization
Notice_2.pdfAuthorization by the ASC under subsection 14(4)now 22(4) of the Securities Act (Alberta) and ASC Notice 2Published 01 Jun 1999Authorization
_1054224_v1_-_SUPER_MOU_FOR_OVERSIGHT_OF_EXCHANGE_AND_QTR_SYSTEMS.pdfOversight of Exchanges and Quotation and Trade Reporting SystemsPublished 07 Nov 2002MOU
_1314978 v1 - ASC DELEGATION AND REGISTRATION ORDER - MARCH 11- 98.pdfTransfer of Registration Authority - Limited Recognition of IDA - consolidation of Blanket Order dated 27 Jul 1994, as amended by BLanket Order dated 11 Mar 1998 and effective 01 Apr 1998Effective 01 Apr 1998Recognition
847915v1_Notice_application_recog.pdfNotice of Application for Recognition of Market Regulations Services Inc.Published 12 Oct 2001ASC Notice
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