Alberta Securities Commission

Alberta Securities Commission
Agency overview
Jurisdiction Canadian province of Alberta
Headquarters Calgary
Agency executive
  • Bill Rice, Chair and Chief Executive Officer
Website http://www.albertasecurities.com

The Alberta Securities Commission (ASC) is a regulatory agency which administers and enforces securities legislation in the Canadian province of Alberta. [1]

The ASC also oversees the Natural Gas Exchange, Inc., the Investment Industry Regulatory Organization of Canada, and the Mutual Fund Dealers Association of Canada. Along with British Columbia, the ASC jointly oversees the operations of the TSX Venture Exchange.

The organization of the ASC is divided into Members and Staff, which includes the Executive Management. Members set policy and recommend changes to the Securities Act and the Securities Regulation, and members act as the Commission's Board of Directors. The Staff has responsibility for registering persons and companies, reviewing prospectuses, considering exemption applications and taking enforcement action.

The ASC staff has also created four advisory committees to act as sounding boards for developing new or amended securities regulation: Financial Advisory Committee, Petroleum Advisory Committee, Securities Advisory Committee, and Financial Review Committee.


See also

References

  1. ↑ ASC Website - About ASC

External links

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