Alberta Securities Commission | Investment Executive https://www.investmentexecutive.com/post_company/alberta-securities-commission/ Canada's news source for financial professionals Thu, 27 Nov 2025 19:52:35 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Alberta Securities Commission | Investment Executive https://www.investmentexecutive.com/post_company/alberta-securities-commission/ 32 32 EMD exemption falls flat, CSA asks why https://www.investmentexecutive.com/news/emd-exemption-falls-flat-csa-asks-why/ Thu, 27 Nov 2025 19:52:35 +0000 https://www.investmentexecutive.com/?p=526475 Regulators seek feedback on initiative that sparked little activity

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]]> CSA plans semi-annual reporting pilot https://www.investmentexecutive.com/news/csa-plans-semi-annual-reporting-pilot/ Thu, 23 Oct 2025 17:41:21 +0000 https://www.investmentexecutive.com/?p=523446 Regulators to allow certain venture issuers to try out less frequent reporting

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]]> Fraudsman banned by ASC https://www.investmentexecutive.com/news/from-the-regulators/fraudsman-banned-by-asc/ Fri, 03 Oct 2025 16:16:03 +0000 https://www.investmentexecutive.com/?p=521874 Man convicted of defrauding investors of $2.97 million hit with market ban

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]]> Regs propose harmonized expertise exemption https://www.investmentexecutive.com/news/from-the-regulators/regs-proposed-harmonized-expertise-exemption/ Thu, 25 Sep 2025 19:49:06 +0000 https://www.investmentexecutive.com/?p=521193 Self-certified exemption enables savvy investors to invest alongside accredited investors

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]]> Exec settles ASC’s fraud, disclosure allegations https://www.investmentexecutive.com/news/from-the-regulators/exec-settles-ascs-fraud-disclosure-allegations/ Tue, 23 Sep 2025 20:41:17 +0000 https://www.investmentexecutive.com/?p=520999 Public company's assets used to pay bills of related, private firm

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]]> ASC panel sanctions Ponzi schemer https://www.investmentexecutive.com/news/from-the-regulators/asc-panel-sanctions-ponzi-schemer/ Mon, 01 Sep 2025 16:09:16 +0000 https://www.investmentexecutive.com/?p=518765 Scheme raised $150 million from investors for day trading, factor investing

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]]> CSA cuts red tape with new WKSI regime https://www.investmentexecutive.com/news/from-the-regulators/csa-cuts-red-tape-with-new-wksi-regime/ Thu, 28 Aug 2025 19:34:50 +0000 https://www.investmentexecutive.com/?p=518733 Regulators reduce burden for large, widely covered issuers to raise capital

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]]> CSA refines plan for binding authority at OBSI https://www.investmentexecutive.com/news/from-the-regulators/csa-refines-plan-for-binding-authority-at-obsi/ Tue, 15 Jul 2025 15:00:00 +0000 https://www.investmentexecutive.com/?p=515221 Regulators set out proposed approach to oversight, external reviews

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]]> ASC panel sanctions ex-rep, company https://www.investmentexecutive.com/news/from-the-regulators/asc-panel-sanctions-ex-rep-company/ Mon, 14 Jul 2025 18:10:07 +0000 https://www.investmentexecutive.com/?p=515131 Regulator issues permanent ban in fraud, illegal distribution case

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]]> CSA aims to kill fund chargebacks https://www.investmentexecutive.com/news/from-the-regulators/csa-aims-to-kill-fund-chargebacks/ Thu, 26 Jun 2025 19:25:50 +0000 https://www.investmentexecutive.com/?p=513808 Regulators propose banning conflicted sales model before it gains traction

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