On October 25, 2017, we wrote about the Alberta Securities Commission’s (ASC) new Policy 15-601 which “explains the use of discretion by ASC staff when considering the appropriate enforcement action and assessing the appropriate sanction for misconduct.” A
Policy 15-601
Alberta Securities Commission Policy 15-601: Credit for Exemplary Cooperation in Enforcement Matters
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In October 2017, the Alberta Securities Commission (ASC) released ASC Policy 15-601: Credit for Exemplary Cooperation in Enforcement Matters. According to the ASC, Policy 15-601:
… provides clarity and transparency regarding the circumstances under which ASC
…