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ARTICLE · 14 NOVEMBER 2017

The Alberta Securities Commission's Credit For Exemplary Cooperation Program

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The Alberta Securities Commission (ASC) announced its new Credit for Exemplary Cooperation in Enforcement Matters Policy (ASC Policy) on October 16, 2017.

CanadaCorporate/Commercial Law
Justin Lambert
Justin Lambert
Michael Mysak
Michael Mysak
Tyler McDonough
Tyler McDonough
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The Alberta Securities Commission (ASC) announced its new Credit for Exemplary Cooperation in Enforcement Matters Policy (ASC Policy) on October 16, 2017. The ASC Policy sets out the benefits of cooperating with the ASC and the factors the ASC will consider when determining whether that cooperation earns credit in enforcement matters. The ASC Policy is designed to increase cooperation and encourage parties to self-report their securities misconduct.

The ASC Policy is consistent with the trend towards incentivizing cooperation with securities regulators. Along with the ASC’s intention to explore a whistleblower program, it perhaps signals a realization that securities misconduct is hard to detect without cooperation from market participants.

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