Registrant Toolkit

Registrant & Market Regulation

Under the Securities Act, firms and individuals must be registered with the ASC to give advice about securities or to trade, buy or sell securities to Albertans.

For more information contact our Public Inquiries department by email at inquiries@asc.ca or by phone at (403) 355-4488.

Learn How to Apply

Rules and Notices Regarding Registration Requirements

11-102

 Passport System [MI]
11-204 Process for Registration in Multiple Jurisdictions [NP]
31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]
31-202 Registration Requirement for Investment Fund Managers [MP]
31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising  Representatives of Portfolio Managers [CSA Notice]
33-109 Registration Information [NI]

Registrants

Why is registration important? Securities industry professionals are required to register with the securities regulator in each province or territory where they do business. Registration helps protect investors because securities regulators will only register firms and individuals if they are properly qualified.

If you discover the person or company you are dealing with is not registered, is offering you something they don’t seem permitted to, or if you need help understanding the results of the National Registration Search tool, please contact the ASC. Some firms have been granted or are relying on an exemption, so contact the ASC for more details.

If you are a registrant and notice that your information is incorrect in the results of the National Registration Search tool, please contact the ASC.

Go to the National Registration Search