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Nova Scotia Securities Commission

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The Nova Scotia Securities Commission was established to provide investors with protection from activities that undermine investor confidence in the fairness and efficiency of Nova Scotia capital markets and where not inconsistent with investor protection, to foster capital formation.

How do we protect investors?

Investor Education

Provide unbiased resources to help Nova Scotians make informed investment decisions

Compliance

Conduct compliance examinations of firms and its registrants.

Registration

People who sell investments in Nova Scotia must be registered with the NSSC.

Corporate Finance

Review capital raising materials to ensure private and public companies are complying with securities laws and are continuously disclosing to their investors when required.

Enforcement

Prosecute people and firms who violate Nova Scotia securities laws.

To fulfil our mandate, we also work in close co-operation with the securities regulatory authorities across Canada through the Canadian Securities Administrators (CSA). The CSA is the umbrella organization for the 13 securities regulators of Canada’s provinces and territories that work together to coordinate and harmonize the regulation of Canada’s capital markets.

Learn more about the Nova Scotia Securities Commission, our mandate and what we do for Nova Scotians by watching our short video "What is the Nova Scotia Securities Commission?"

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Before You Invest

Choosing a financial adviser – Part 2 – Questions to ask and expectations

Submitted by nsscadmin on Wed, 11/20/2024 - 09:00

Last week we began our short blog series on choosing a financial adviser by looking at why you might want to work with a financial adviser in the first place. We conclude this week by looking at questions to ask a prospective adviser and expectations you should and should not have when entering a client-adviser relationship.

Read more about Choosing a financial adviser – Part 2 – Questions to ask and expectations

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.