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ARTICLE · 11 DECEMBER 2017

Credit For Cooperation: The Alberta Securities Commission Sets Out Parameters For Cooperation

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The Alberta Securities Commission (the "ASC") recently released the Credit For Exemplary Cooperation in Enforcement Matters policy (the "ASC Policy").

CanadaCorporate/Commercial Law
Canadian Securities Regulatory Monitor
Canadian Securities Regulatory Monitor
Danielle Douglas
Danielle Douglas
Renee Reichelt
Renee Reichelt
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The Alberta Securities Commission (the "ASC") recently released the Credit For Exemplary Cooperation in Enforcement Matters policy (the "ASC Policy"). It joins the provinces of Ontario and British Columbia in encouraging persons and companies to self-report securities related misconduct and breaches of securities laws. The purpose of the ASC Policy is to explain the benefits of cooperating with the securities regulator and the factors the ASC will consider when granting credit for exemplary cooperation. Historically, securities regulators have faced difficulties in detecting securities related misconduct, and as such, regulators have come to see the merits in providing incentives for persons and companies to self-report.

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