Policy & Market Regulation Branch

Policy & Market Regulation Branch:

Commissioners, in consultation with staff, develop rules, policies and other instruments relating to the regulation of the securities industry in Nova Scotia.

The development and harmonization of securities law and policy is carried out in conjunction with the Canadian Securities Administrators (CSA), the umbrella organization of all provincial and territorial securities regulators.

Registration & Compliance:

Companies and individuals who want to sell securities in Nova Scotia must be registered with the Commission to do so.  Registration staff consider applications for registration of industry professionals such as mutual fund dealers, investment dealers, and portfolio managers to ensure that they meet the specified criteria specific to their registration category, by maintaining minimum amounts of capital and insurance, and having the necessary experience and education.

Compliance staff conduct field audits and examinations of securities firms and individuals who are registered to ensure that they are in compliance with applicable securities laws.

Investor Education:

The Commission, through its investor education programs, provides unbiased resources relating to topics such as responsible investing, fraud alerts and the functioning of our capital market systems, to help Nova Scotians make informed investment decisions. 

The programs use various communication strategies, including the Commission's blog and twitter feed, and in-person presentations to schools, businesses and business advisers on various aspects of capital raising in Nova Scotia and distributes our informative brochure Raising Capital for Small and Mid-size Businesses in Nova Scotia.

The Commission also administers national campaigns in partnership with the CSA during key months of the year i.e. October-Investor Education month, November-Financial Literacy month and March-Fraud Prevention month.