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Nova Scotia Securities Commission

The Nova Scotia Securities Commission regulates activities involving securities and derivatives that occur in Nova Scotia or that involve Nova Scotian residents.

Nova Scotia Securities Commission Code of Conduct

Location:

Ste. 400, Duke Tower, 5251 Duke St., Halifax, NS B3J 1P3 View Map

Office Hours: 8:30 a.m. to 4:30 p.m.

Mailing Address:

PO Box 458, Halifax, NS B3J 2P8

For General Inquiries:

Telephone: (902) 424-7768

Toll Free Number (within Nova Scotia): 1-855-424-2499

Fax: (902) 424-4625

Email: NSSCinquiries@novascotia.ca

Media Inquiries:

David Harrison

Manager, Investor Education & Communications

Phone: (902) 424-8586

Email: David.harrison@novascotia.ca

Policy and Market Regulation

To speak to someone about your investment adviser, their firm, or registration matters.

Phone: (902) 424-2336

Email: NSSC-capital-markets@novascotia.ca

Applications for exemptive relief should be forwarded to NSSCEXEMPTIONS@novascotia.ca

Corporate Finance and Derivatives

To speak to someone about a Nova Scotia company, the CEDIF program, investment funds or derivatives.

Phone: (902) 424-6859

For filings email: NSSC_corp_finance@novascotia.ca

Enforcement

To make a confidential complaint regarding possible violation of Nova Scotia securities laws or to report a scam affecting Nova Scotia residents.

File a Complaint or Report a Scam

Location:

Ste. 600, Duke Tower, 5251 Duke St., Halifax, NS B3J 1P3 View Map

Mailing Address:

PO Box 451, Halifax, NS B3J 2P8

Contact Info:

Phone: (902) 424-8814

Toll Free Number (within Nova Scotia): 1-855-424-2499

Fax: (902) 424-3538

Email: NSSCEnforcement@novascotia.ca

(Please include in the email your mailing address: street, city, province, postal code)

Failure to file annual financial statements.
Failure to file interim financial statements.
Failure to file an annual or interim management’s discussion and analysis (MD&A) or an annual or interim management report of fund performance (MRFP).
Failure to file an Annual Information Form (AIF).
Failure to file a certification of annual or interim filings required by Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (MI 52-109).
Failure to file required proxy materials or a required information circular.
Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI).
Failure to file a material change report.
Failure to provide a written update after filing a confidential report of a material change.
Failure to file a business acquisition report.
Failure to file annual oil and gas disclosure prescribed by National Instrument 51-101 Standards of Disclosure of Oil and Gas Activities (NI 51-101) or technical reports for a mineral project required under NI 43-101 Standards of Disclosure for Mineral Projects (NI 43-101).
Failure to file a mandatory news release.
Failure to file corporate governance disclosure as required by national Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101).
Failure to file audit committee disclosure as required by Multilateral Instrument 52-110 Audit Committees (MI 52-110) or BC Instrument 52-509 Audit Committees.
Failure to include disclosure in an issuer’s MD&A relating to disclosure controls and procedures and their direct effectiveness that is referred to in a certificate filed under MI 52-109.
Financial statements of the reporting issuer, or the auditors’ report accompanying the financial statements, do not comply with the requirements of NI 51-102 Continuous Disclosure Obligations (NI 51-102), National Instrument 81-106 Investment Fund Continuous Disclosure (NI 81-106) or National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency (NI 52-107).
The reporting issuer has acknowledged that its financial statements, or the auditors’ report accompanying the financial statements, may no longer be relied upon.
The reporting issuer’s AIF, MD&A, MRFP, information circular, or business acquisition reports do not contain information for each of the content items required by NI 51-102 or NI 81-106.
The reporting issuer’s technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or 51-101.
Failure to pay a fee required by the Act or the regulations.
Failure to comply with any other requirement related to continuous disclosure.