About the alberta securities commission (ASC)

The ASC is the regulatory agency responsible for administering Alberta’s securities laws. Our mission is clear: to foster a fair and efficient capital market and to protect investors.

What the asc does

The ASC works to ensure investor protection and a fair and efficient capital market through regulation, investigation and education.


All securities-related activity is regulated by the ASC, either directly, or indirectly through self-regulatory organizations (SROs) which are regularly reviewed.


The ASC is dedicated to protecting investors by investigating and prosecuting companies or people breaking Alberta’s securities laws. Those who pose risks to investors, complaints filed by the public or breaches to the fair and efficient operation of the Alberta capital market are personally assessed by ASC staff and, if needed, investigated and prosecuted.


A core responsibility of the ASC is to educate investors and provide Albertans with unbiased tools and resources to empower them to both make informed investment and financial decisions and to recognize and avoid fraud. From this website to webinars, presentations and reports, the ASC is incredibly active educating investors and other market participants in Alberta.

Get in touch

Whether you’re looking for more information, need to file a complaint, or check the registration of a company or advisor, we’re here to help.