Authorizations & Memorandums of Understanding

Securities Law & Policy

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 
Authorization by the ASC under Subsection 22(4) of the Securities Act                                    Effective  11/06/2013 
ED Authorization Order - under Subsection 17(2) August 30, 2019
 Effective  08/30/2019 
Authorization by the ASC under Subsection 22(1) of the Securities Act Effective   12/18/2009 

Memoranda of Understanding: The ASC has arrangements in place with other regulatory authorities, such as Memoranda of Understanding, which help facilitate cooperation, coordination and information sharing among regulators.

Document Title  Date Type  Date 
Fintech - Innovation Functions Co-operation Agreement_Financial Conduct Authority (FCA)  Effective  12/12/2017 
Fintech - Innovation Functions Co-operation Agreement_ Australian Securities and Investments Commission (ASIC)  Effective  12/11/2017 
Fintech - Innovation Functions Co-operation Agreement_France Authorite des marches financiers
 Effective   12/07/2017 
Fintech - Innovation Functions Co-operation Agreement_Abu Dhabi  Effective   10/17/2017 
Fintech - Innovation Functions Co-operation Agreement (Singapore)  Effective  10/31/2019 
Memorandum of Understanding Respecting the Oversight of Clearing Agencies, Trade Repositories and Matching Service Utilities  Effective   12/03/2015
Memorandum of Understanding Concerning Cooperation Arrangements for Central Counterparties (European Securities and Markets Authority)
 Issued 11/30/2015 
Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (Superintendencia de Valores y Seguros)  Effective  02/23/2015 
Memorandum of Understanding Concerning Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Covered Entities (United States Commodity Futures Trading Commission "CFTC")   Effective 03/25/2014 
Memorandum of Understanding Regarding Oversight of the Mutual Fund Dealers Association (MFDA) of Canada Effective  10/02/2013 
International Information Sharing Memorandum of Understanding (FINRA)  Effective  07/25/2012 
Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Regulated Entities (The United States Securities and Exchange Commission "SEC") Effective  09/19/2011 
Memorandum of Understanding Respecting the Oversight of Exchanges and Quotation and Trade Reporting Systems  Effective  01/01/2010 
Memorandum of Understanding Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC)  Effective  06/01/2008 
Mutual Reliance Review System  Effective  01/01/2000 
Notice of Memorandum of Understanding relating to the Mutual Reliance Review System Effective  10/14/1999