Securities law in Canada is comprised of various statutes, regulations, instruments, policies, rules, notices, and common law. This paper provides an overview of the various sources of securities law and the securities regulatory regime, in order to provide a general sense of where securities laws are derived from, and what parties are responsible for administering and overseeing those laws. The author provides a brief review of general corporate law, the Alberta Securities Act, and securities regulation. Additionally, securities rules and enforcement issues are discussed.

This paper is part of a collection presented at LESA’s Securities Law for Legal Support Staff program in Calgary on January 7, 2016.