Investor Alerts are warnings that the Commission has conducted investigatory work and has reason to believe that the individuals’ or entities’ activities or schemes appear to violate Nova Scotia securities laws and may pose imminent risk of harm to Nova Scotian investors. Potential Investors should avoid these investment opportunities.
The Commission has issued Investor Alerts about the following individuals and entities:
Investment offers can come from anywhere in the world. The law in Nova Scotia requires that:
The Statement of Mandate outlines the NSSC’s goals and objectives for the upcoming fiscal year.
The regulation of sales of securities in Nova Scotia is governed by Nova Scotia securities laws, which includes the Securities Act, regulations, rules, and orders.
Laws made by the Government of Nova Scotia.
The Commission is comprised of up to eight commissioners who are appointed by Order-in-Council, alongside the legal, accounting, and administrative support staff who carry out our day-to-day business.
To provide investors with protection from practices and activities that tend to undermine investor confidence in the fairness and efficiency of capital markets and, where it would not be inconsistent with an adequate level of investor protection, to foster the process of capital formation.
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.
The powers granted to the Commission under the Securities Act include the ability to:
The Corporate Finance Branch of the Commission reviews prospectuses for proposed public offerings of securities and, where appropriate, issues receipts for the sale of those securities in Nova Scotia. The Commission also receives and reviews the information that Nova Scotia’s public companies are required to disclose on a periodic and continuous basis to the public, such as annual and interim financial statements.
