Innovation in the Capital Markets
Through our InnoFin Hub, we engage with entrepreneurs, academics and industry respecting financial technology (fintech) developments in the capital markets and potential regulatory innovation.
We also engage with market participants through the ASC’s advisory committees and through formal and informal consultations and roundtables.
You can connect with us by emailing inquiries@asc.ca.
To help us more efficiently address your questions and connect you with the appropriate subject matter experts, please tell us a bit more about your question and/or proposal:
- Will your business be located in Alberta?
- Where do you plan to operate initially?
- Are you seeking introductory information regarding securities law?
- Have you obtained securities law advice but have a more complex issue? If so, please identify the areas to which it relates e.g.,
- securities or derivatives
- registration as a dealer, adviser or investment fund manager
- custody of securities or derivatives
- settlement or clearing
- investment funds
- public
- private
- financings [If so, see “Small Business Financing” for some preliminary information]
- prospectus offering
- private / prospectus exemption
- marketplaces/secondary trading
- Are you proposing to use blockchain technology? [If so, see “Crypto Assets / Digital Assets” for some preliminary information]
- Are you proposing to use another novel technology?
- Are you proposing a regulatory innovation the use of which would require a discretionary exemption from securities law
- Are you interested in and willing to test your innovation within certain parameters or limitations in order to manage investor protection concerns?