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ARTICLE · 26 NOVEMBER 2018

ASC Introduces Anticipated Whistleblower Policy

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Just over a year after implementing its "Credit for Exemplary Cooperation in Enforcement Matters" Policy, the Alberta Securities Commission has introduced its anticipated Whistleblower Policy...

CanadaCorporate/Commercial Law
Loni da Costa
Loni da Costa
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Just over a year after implementing its "Credit for Exemplary Cooperation in Enforcement Matters" Policy, the Alberta Securities Commission has introduced its anticipated Whistleblower Policy as another tool to encourage self reporting and deterrence and to improve investor protection.  

ASC Policy 15-602 and accompanying amendments to the Alberta Securities Act took effect November 19, 2018.  The Policy attempts to balance the value of insider insights into securities-related misconduct (insider trading and tipping, market manipulation or issues with financial reporting or corporate disclosure obligations) while acknowledging that many hesitate to  disclose misconduct for fear of personal repercussions. 

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