The Alberta Securities Commission (ASC) is the regulatory agency responsible for administering and enforcing securities laws in the province of Alberta, Canada. Established as an independent provincial corporation, the ASC's mandate is to protect investors and foster a fair, efficient, and vibrant capital market. It oversees the conduct of market participants, including public companies, investment funds, dealers, and advisors. The ASC sets rules and policies, conducts investigations and enforcement actions against misconduct, and provides investor education resources to empower Albertans in their financial decisions.
The headquarters serves as the central hub for all ASC operations, including policy development, corporate finance review, market oversight, compliance, investigations, enforcement proceedings, investor education program management, and administrative functions.
Located in a modern office tower, the headquarters features contemporary office amenities, secure facilities for handling sensitive information, and dedicated spaces for hearings and public stakeholder meetings.
The ASC fosters a professional, diligent, and integrity-driven work culture. Employees are typically experts in finance, law, and regulation, dedicated to public service and upholding market fairness. The environment emphasizes meticulousness, collaboration on complex cases, and continuous learning to keep pace with evolving market dynamics.
As the nerve center for securities regulation in Alberta, the ASC's headquarters is pivotal for maintaining investor confidence and the integrity of one of Canada's most significant capital markets. Decisions made here directly impact market participants, corporate governance, and economic activity within the province.
While the ASC's direct regulatory jurisdiction is the province of Alberta, it actively participates in national and international regulatory cooperation. It is a key member of the Canadian Securities Administrators (CSA), working with other provincial and territorial regulators to harmonize securities regulation across Canada. Internationally, the ASC engages with organizations like the International Organization of Securities Commissions (IOSCO) to contribute to global standards, share best practices, and collaborate on cross-border enforcement and market oversight, ensuring Alberta's market remains aligned with global integrity standards.
Suite 600, 250 – 5th Street SW
Calgary
Alberta
Canada
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As of April 2025, Alberta Securities Commission' leadership includes:
Alberta Securities Commission has been backed by several prominent investors over the years, including:
In the past 12 months, a key leadership appointment was made with Lynn Tsutsumi becoming Vice-Chair. No other major publicly announced hires or departures within the core executive management team have been noted during this period.
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The Alberta Securities Commission primarily uses the [first_name].[last_name]@asc.ca email format for its staff. This is a common pattern for professional and governmental organizations.
[first_name].[last_name]@asc.ca
Format
fraser.absolon@asc.ca
Example
85%
Success rate
ASC News Releases • March 7, 2024
The Alberta Securities Commission (ASC) has issued a Notice of Hearing against Calvin Lockerbie and True Spirit Bear Financial Corp. for allegedly breaching Alberta securities laws through an illegal distribution of securities and making misleading or untrue statements to investors....more
ASC News Releases • February 29, 2024
The Canadian Securities Administrators (CSA), of which the ASC is a member, published CSA Staff Notice 23-333 providing guidance on existing securities law requirements related to short selling in Canada. This guidance aims to promote market integrity and transparency in short selling practices....more
ASC News Releases • February 15, 2024
The Alberta Securities Commission (ASC) has sanctioned Base Continual Inc. (BASE) and Gary Mårtens for committing fraud and illegally distributing securities. They were ordered to pay significant monetary penalties and are subject to market access bans....more
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