Authorizations & Memorandums of Understanding
Authorizations: The ASC has delegated certain functions to certain members of ASC staff in the following Authorization Orders pursuant to sections 17(2) and 22(4) of the Securities Act (Alberta).
| Document Title | Date Type | Date |
| Omnibus Authorization by the Commission under Subsection 22(4) of the Securities Act | Effective | 02/01/2024 |
| Omnibus Authorization by the Executive Director under Subsection 17(2) of the Securities Act |
Effective | 01/31/2024 |
| Authorization by the Commission under Subsection 22(1) of the Securities Act – ASC Rule 15-501 Rules of Practice and Procedure for Commission Proceedings | Effective | 11/20/2013 |
Memoranda of Understanding: The ASC has arrangements in place with other regulatory authorities, such as Memoranda of Understanding, which help facilitate coordinated CSA oversight of market participants (see Registrant & Market Regulation section of the website), and cooperation and information sharing amongst various national and international financial services regulators.