• Dealing With Securities Commissions
  • February 4, 2015 | Authors: Clarissa A. Dhillon; Graham McLennan
  • Law Firm: McLennan Ross LLP - Edmonton Office
  • If you are a director, officer, auditor, or even an employee of a public corporation, one day you could receive an official letter from a Securities Commission (“Commission”). In Alberta the letter would most likely be from the Alberta Securities Commission. If the public company trades on a U.S. exchange, you may also receive a letter from the Securities and Exchange Commission (“SEC”), which regulates trading of public securities in the United States.