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Investment Law

Investments or Securities law is the body of law that regulates the sale of company shares to the public. Some of the aspects of securities law, include the regulation of the sale of securities, stock exchanges, initial public offerings and private placements, and the rights and duties of brokers and clients.  

In Canada, securities law is governed primarily by provincial statute. The primary statute that governs securities law is called the Securities Act and is relatively uniform across all Canadian jurisdictions.

In addition to each province having a Securities Act, each province also issues regulations under its Securities Acts. These regulations, which vary more from province to province than the statute, are very detailed in their regulation of trades in securities. The regulations often contain forms which must be used for various transactions or reporting obligations.

References

British Columbia Securities Act

British Columbia Securities Commission
Regulation of trading in securities and exchange contracts within British Columbia is governed by the BC Securities Act, Securities Regulation, and Securities Rules, as well as notices, instruments, and policy documents.

The Alberta Securities Commission (ASC)
The Alberta Securities Commission regulates the capital market in Alberta and balances the interests of investors, issuers and persons registered to sell securities. It administers the Alberta Securities Act, which facilitates a fair and efficient capital market. The securities regulatory system is based on two fundamental principles:

  • To provide investors with full, true and plain disclosure so that they can make informed investment decisions.
  • Confidence in the integrity of the capital market must be maintained. Confidence in the capital market stems partly from confidence in the securities regulatory system. ASC plays a key role in maintaining confidence in the capital market in Alberta.

  • Ontario Securities Commission

    Ombudsman for Banking Services and Investments
    The Ombudsman for Banking Services and Investments (OBSI) is an independent organization that investigates customer complaints against financial services providers, including banks and other deposit-taking organizations, investment dealers, mutual fund dealers and mutual fund companies.

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