Uniform Act Policy
Items with a dark grey background, are archived.
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Title
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600, 250 - 5th St SW, Calgary, AB T2P 0R4
(403) 297-6454
(403) 297-6454
About the ASC
- ASC Strategic Plan
- How we developed our Strategic Plan
- Organizations the ASC Collaborates With
- Organization & governance
- ASC Members
- Executive Management
- Advisory Committees
- Careers
- Career Opportunities
- Hear From Our People
- Why Choose the ASC
- New Employees & Students
- FAQs
- Accessing Records
- Frequently Asked Questions
- Terms used in this website
- Contact Us
Complain or Report
Securities Law & Policy
- Act & Regulation
- Regulatory Instruments
- Regulatory Updates
- Authorizations & Memorandums of Understanding
- Blanket Orders & Designation Orders
Issuer Regulation
- Reporting Issuer List
- Energy Matters
- Financing Dashboards
- Exempt Financing
- Exemption Orders
- Issuer Toolkit
- Fees & Filing Deadlines
- Participation Fees
- Fee Calculator for Reports of Exempt Distribution
- Fee and Refund Requests
- FAQs
- Ongoing Disclosure
- Insider Reporting
- Cease Trade Orders
- Decisions and Orders
- Auditor Oversight Organization
Innovation in Finance
Registrant & Market Regulation
- Alberta-Based Registrant List
- Registrant Toolkit
- How to Apply
- Frequently Used Forms & Fees
- Reference Resource for Exempt Market Dealers
- Information about Exemptions
- Client Focused Reforms
- Client Relationship Manager Advising Representatives
- Education
- Research
- Self-Regulatory Organizations
- Exchanges, Alternative Trading Systems, Clearing Agencies, Trade Repositories & Information Processors
- Regulatory Reform of Over-the-Counter Derivatives
- Exemption Orders
- Decisions & Orders
Investment Funds
Small Business
Enforcement
- ASC Proceedings
- Appearing Before the ASC
- Electronic Document Guidelines
- Remote Hearing Guidelines
- Status of Current Proceedings
- Other proceedings
- Unpaid Orders
- Notices, Decisions & Orders
- Investment Caution List
- File an Investor Complaint
- Office of the Whistleblower
- Automatic Reciprocation
News & Publications
Strengthen your investor knowledge and learn how to protect yourself from investment scams, visit CheckFirst.ca.
Learn More
About the ASC
- About the ASC
- ASC Strategic Plan
- How we developed our Strategic Plan
- Organizations the ASC Collaborates With
- Organization & governance
- ASC Members
- Executive Management
- Advisory Committees
- Careers
- Career Opportunities
- Hear From Our People
- Why Choose the ASC
- New Employees & Students
- FAQs
- Accessing Records
- Frequently Asked Questions
- Terms used in this website
- Contact Us
Issuer Regulation
- Issuer Regulation
- Reporting Issuer List
- Energy Matters
- Financing Dashboards
- Exempt Financing
- Exemption Orders
- Issuer Toolkit
- Fees & Filing Deadlines
- Participation Fees
- Fee Calculator for Reports of Exempt Distribution
- Fee and Refund Requests
- FAQs
- Ongoing Disclosure
- Insider Reporting
- Cease Trade Orders
- Decisions and Orders
- Auditor Oversight Organization
Registrant & Market Regulation
- Registrant & Market Regulation
- Alberta-Based Registrant List
- Registrant Toolkit
- How to Apply
- Frequently Used Forms & Fees
- Reference Resource for Exempt Market Dealers
- Information about Exemptions
- Client Focused Reforms
- Client Relationship Manager Advising Representatives
- Education
- Research
- Self-Regulatory Organizations
- Exchanges, Alternative Trading Systems, Clearing Agencies, Trade Repositories & Information Processors
- Regulatory Reform of Over-the-Counter Derivatives
- Exemption Orders
- Decisions & Orders
Enforcement
- Enforcement
- ASC Proceedings
- Appearing Before the ASC
- Electronic Document Guidelines
- Remote Hearing Guidelines
- Status of Current Proceedings
- Other proceedings
- Unpaid Orders
- Notices, Decisions & Orders
- Investment Caution List
- File an Investor Complaint
- Office of the Whistleblower
- Automatic Reciprocation
Strengthen your investor knowledge and learn how to protect yourself from investment scams, visit CheckFirst.ca.
Learn More