The Commission has broad powers to enforce Nova Scotia securities laws.
We investigate allegations of misconduct in the capital markets and can initiate proceedings against individuals or companies suspected of violating securities law or acting contrary to the public interest. These enforcement proceedings are heard before the Commission.
Upcoming Proceedings
Commission proceedings are generally open to the public. Review upcoming dates and locations.
Exemptions & Rulings
The Commission provides exemptions from securities laws when investor protection won’t be compromised.
Enforcement Guides & Protocols
A Guide for Witnesses involved in enforcement proceedings A Guide for Complainants involved in enforcement proceedings A Guide to Investigations and Hearings for parties involved in enforcement proceedings A Guide for In-Person Hearings during the pandemic A Guide and Protocols for Hearings held via video conferencing Nova Scotia Securities Commission Hearing Media Policy