This paper provides an overview of the function of the Alberta Securities Commission, its organization, and the roles and responsibilities of each branch. It then discusses the mechanisms available to the ASC for enforcement of securities laws and the forums in which it may deal with contraventions and initiate hearings. Gain insight into the procedures for investigations, hearings, appeals of decisions, and the range of orders that can be made by the ASC.

This paper was drawn from materials presented at The Practical Side of Administrative Agencies, Boards, and Tribunals program held in April 2012.