Enforcement Proceedings & Exemption Orders

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. 

Commission proceedings are generally open to the public. For information on upcoming proceedings, see the Events/ Hearings Calendar.

The Commission is able to provide exemptions from the requirements of Nova Scotia securities laws when investor protection won’t be compromised. You can find orders and rulings granted by the Commission and the Director by viewing the Orders page.

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

Hero Unit: 
Proceedings Hero Unit