Relevant information for investors, media, and market participants from the regulator of Alberta's capital market, the Alberta Securities Commission.
Alberta
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The CSA today published for comment proposed amendments that would provide harmonized exemptions from certain repurchase transactions requirements for reporting issuer investment funds. asc.ca/News-and-Publications…
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Members of the Canadian Securities Administrators (CSA) today published a report on the potential benefits and challenges involved in giving investors more control over the data they provide to investment firms. asc.ca/News-and-Publications…
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The CSA and CIRO have published a joint notice providing new guidance on prediction markets. asc.ca/news-and-publications…
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The CSA today published its annual Year in Review, highlighting progress made during the first year of its 2025-2028 Business Plan. asc.ca/news-and-publications…
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The CSA is warning Canadians about an ongoing investment fraud involving the impersonation of Union Bancaire Privée, UBP SA (UBP), a Swiss private bank and asset manager. asc.ca/News-and-Publications…
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The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with CatalX CTS Ltd. (operating as Catalyx) and its chief executive officer, Hyuk Jae Park (Park), for breaching Alberta securities laws. asc.ca/News-and-Publications…
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The CSA and CIRO have issued guidance on industry practices relating to the marketing and sale of ETFs that are listed on a foreign exchange but not also on a Canadian exchange. asc.ca/News-and-Publications…
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The CSA is seeking to codify increases to the amount of funds that qualified listed issuers can raise without a prospectus. asc.ca/News-and-Publications…
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In response to the release of the independent evaluator’s report of the Ombudsman for Banking Services and Investments (OBSI) published today, the Joint Regulators Committee (JRC) is issuing the following statement. asc.ca/News-and-Publications…
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The ASC has sanctioned Glenn Donald Hunter, Kyle William Watters, HW & Associates Inc. and HW TradeFX LLC for breaching Alberta securities laws. asc.ca/News-and-Publications…
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The ASC’s 2026 Annual Report, “Intelligent regulation. Investor protection. Working together to enable our market to thrive,” is now available: ow.ly/naEg50ZkMpw
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The ASC has concluded a Settlement Agreement and Undertaking with Russell Douglas Ingram of Calgary, Alberta, for breaching Alberta securities laws.
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The CSA today published in final form amendments and changes to implement an access model for certain continuous disclosure documents of reporting issuers, other than investment funds. asc.ca/News-and-Publications…
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In recognition of World Elder Abuse Awareness Day, the CSA is encouraging investors and their families to take steps to better recognize, avoid and report investment fraud. asc.ca/News-and-Publications…
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The ASC and the RCMP Federal Policing Northwest Region’s IMET announce that Douglas John Vermeeren of Calgary, AB, has been charged under the Securities Act (Alberta) following an investigation by the Joint Serious Offences Team (JSOT). asc.ca/News-and-Publications…
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The CSA today published final amendments to the principal distributor model in the distribution of mutual fund securities. The changes are intended to improve investor protection and help maintain investor confidence in Canada’s capital markets. asc.ca/News-and-Publications…
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The ASC issued cease-and-desist letters to promoters of BG Wealth Sharing, an online crypto and MLM scam, and its fraudulent trading platform, DSJ Exchange (DSJ EX), to prevent further investor harm. ow.ly/nm0H50Z3Oli
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The CSA invites interested stakeholders to join the livestream for its upcoming Toronto tokenization workshop: Powering Growth and Competitiveness taking place on Thursday, June 11, 2026. asc.ca/News-and-Publications…
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The CSA today published a Notice and Request for Comment related to proposed amendments and changes to enhance the Canadian issuer bid, take-over bid, and beneficial ownership reporting regimes. asc.ca/News-and-Publications…
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OSFI, together with CPAB and the CSA co-hosted a roundtable last week that brought together senior representatives from audit firms, accounting professional bodies, standard setters, and regulators.
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The CSA has published Coordinated Blanket Order 33-930 Exemptions from Requirements to Submit Certain Personal Information, which provides temporary exemptions under National Instrument 33-109 Registration Information. asc.ca/News-and-Publications…
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The CSA today published the Oversight Review Report of the Canadian Investor Protection Fund (CIPF). asc.ca/News-and-Publications…
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The CSA today announced the adoption of final amendments to National Instrument 23-101 Trading Rules and changes to Companion Policy 23-101 Trading Rules asc.ca/News-and-Publications…
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An ASC panel has issued a written decision providing reasons for its Dec 19, 2025 interim order against Midas Vantage Projects (MVP) Lithium Limited, Carolyn Jean Orazietti (aka Carolyn Jean Beeler) and Vinay Ramachand Iyer (aka Max Iyer) asc.ca/News-and-Publications…
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The Joint Forum of Financial Market Regulators has concluded its Annual Meeting held this year in Montreal, Quebec on April 15.
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The CSA is warning Canadians about fraudulent investment groups being promoted on social media that could be running a stock price manipulation scam called a “ramp and dump.” asc.ca/News-and-Publications…
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The CSA today published a notice and request for comment on a proposed amendment to Part 9 of National Instrument 55-104 Insider Reporting Requirements and Exemptions. asc.ca/News-and-Publications…
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The CSA has published a report outlining key oversight activities for the Canadian Investment Regulatory Organization (CIRO) and the Canadian Investor Protection Fund (CIPF). asc.ca/News-and-Publications…
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Given the growing interest in prediction markets in Canada, the CSA and CIRO want industry and investors to be aware of the applicable requirements governing prediction markets and event contracts (also known as prediction contracts and forecast contracts) asc.ca/News-and-Publications…
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The CSA has launched an initiative to examine the potential for tokenized financial products in the capital markets and is inviting interested parties to the upcoming workshops taking place in Calgary and Toronto on this market innovation. asc.ca/News-and-Publications…
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The ASC has announced a one-year, coordinated fee approach with the CIRO in response to certain fee changes and to keep fees net neutral for Alberta-resident individual registrants in 2026. asc.ca/News-and-Publications…
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The CSA today announced the adoption of a pilot project to allow eligible venture issuers to voluntarily adopt a semi-annual financial reporting framework. asc.ca/News-and-Publications…
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The ASC is pleased to announce that the Lieutenant Governor in Council has appointed Deanna Steblyk, K.C. as a Vice-Chair of the ASC for a term to expire on March 10, 2032. asc.ca/News-and-Publications…
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In recognition of Fraud Prevention Month, the CSA today released updated results from its effort to disrupt fraudulent investment websites targeting Canadians. asc.ca/News-and-Publications…
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The ASC has issued a Notice of Hearing alleging that 2307755 Alberta Ltd. (2307755) and Daniel Rodolfo Astete (Astete) engaged in illegal distributions of securities. asc.ca/News-and-Publications…
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Several Canadian securities regulatory authorities announced the adoption of final amendments to Multilateral Instrument 25-102 Designated Benchmarks and Benchmark Administrators and related final changes to its companion policy. asc.ca/News-and-Publications…
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On February 11, 2026, Court of King’s Bench of Alberta Justice G.H. Poelman dismissed an appeal filed by Ronald James Aitkens in relation to his 2024 conviction and sentence. asc.ca/en/News-and-Publicati…
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The ASC is warning the public about a suspected investment scheme called BG Wealth Sharing, which is linked to a web‑based trading platform known as DSJ Exchange (DSJ EX). asc.ca/News-and-Publications…
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The CSA published its 2025 Systemic Risk Committee Annual Report on Capital Markets – an analysis of recent financial market trends, emerging risk areas, and potential vulnerabilities in Canadian capital markets. asc.ca/News-and-Publications…
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The ASC has permanently banned Michael Rowland Tomkins from participating in Alberta’s capital market after he was sanctioned by CIRO for misappropriating client funds. asc.ca/News-and-Publications…
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The CSA is warning registrants about an email impersonating the CSA that uses publicly available information to target them. asc.ca/News-and-Publications…
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The CSA announced final amendments to modernize the continuous disclosure regime for investment funds. These amendments are designed to reduce the regulatory burden on fund managers while maintaining the quality and timeliness of disclosure for investors. asc.ca/News-and-Publications…
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The CSA today published revised guidance in CSA Staff Notice 96-307 Frequently Asked Questions about Derivatives Trade Reporting. asc.ca/News-and-Publications…
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The ASC published information on the top three scams and misleading tactics Alberta investors should watch out for this year. We encourage Albertans to take the time to do their own research and make sure an investment opportunity is right for them. asc.ca/News-and-Publications…
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The ASC has issued a Notice of Hearing alleging that Jason David Neale, Randal (Randy) Stewart Thompson and William (Bill) Allan Green, perpetrated a fraud on investors. asc.ca/News-and-Publications…
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The ASC has issued an Interim Order dated December 19, 2025, against Midas Vantage Projects Lithium Limited, Carolyn Jean Orazietti, also known as Carolyn Jean Beeler, and Vinay Ramachand Iyer, also known as Max Iyer.
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The ASC has banned Jeffrey Brian Ber from participating in Alberta’s capital market in certain capacities after a criminal court found that he committed fraud and corruption. asc.ca/News-and-Publications…
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The Government of Alberta has passed legislative amendments to the Securities Act (Alberta) put forward by the ASC that are designed to protect Albertans, their investments, and the integrity of Alberta’s capital market. asc.ca/News-and-Publications…
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The ASC has issued a Notice of Hearing alleging that Calgary residents Dean Labbe and Julie Labbe engaged in illegal insider trading. asc.ca/en/News-and-Publicati…
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The CSA in collaboration with CIRO today announced initial results from its initiative to help combat the rising number of fraudulent websites that pose a threat to Canadian investors. asc.ca/News-and-Publications…
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The CSA and CIRO have released new guidance for financial content creators or influencers, known as “finfluencers.” The guidance aims to help them understand and follow securities laws when posting information about investing online. asc.ca/News-and-Publications…
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An ASC panel has found that GRS Hydrogen Solutions Inc. contravened Alberta securities laws by illegally distributing GRS securities, and by making prohibited representations and misrepresentations to investors. asc.ca/News-and-Publications…
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