In accordance with Section 11.3 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), every registrant must designate a Chief Compliance Officer (CCO) to perform the responsibilities set out in Section 5.2 of NI 31-103. The primary responsibility of the CCO is to monitor and assess compliance by the firm, and individuals acting on its behalf, with Nova Scotia securities laws.
The Nova Scotia Securities Commission (NSSC) maintains this website and the information it contains as a non-commercial public service, for information and educational purposes only.
Enforcement staff are responsible for dealing with complaints, carrying out investigations, and conducting enforcement proceedings for breaches of Nova Scotia securities laws.
Commissioners sit as a hearing panel in connection with regulatory enforcement proceedings.
Firms must register with the NSSC if they conduct any of the following activities in Nova Scotia:
