What is the NSSC? – Policy and Market Regulation
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Policy and Market Regulation oversees several aspects of securities regulation.
NSSC Blog: Before You Invest
What is the NSSC? – Investor Education
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We’re entering the dog days of summer, so it’s likely best not to hit our readers with anything too heavy right now. So instead of delving into complicated investments, we’d like to reintroduce ourselves.
CSA/NSSC Regulatory Review May-July 2022
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The last three months were a busy time for securities regulators. Several releases and notices were issued by the Nova Scotia Securities Commission and the Canadian Securities Administrators. In case you missed any of these releases or notices here’s a quick rundown on what they meant for issuers and investors and links to the documents, where you can find the full details.
What are the risks when trading on over-the-counter (OTC) markets?
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Over-the counter markets (OTC markets are marketplaces, not exchanges, where traders can buy and sell securities that have been issued by small companies. These securities typically have little liquidity because they are not frequently traded. Transactions on OTC markets are conducted directly between the buyer and the seller.
What is your risk capacity?
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Do you know your risk capacity when it comes to investing?
You can’t “Save” for retirement
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Investment scams targeting seniors
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As we get to the end of Seniors’ Month let’s talk about investment scams that specifically target seniors.
Why would an adviser need to place a temporary hold?
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Two weeks ago, a blog post talked about trusted contact persons (TCP). The same amendments that allowed advisers to ask for and collect TCP information also allowed an adviser to place a temporary hold on a transaction in certain circumstances.
World Elder Abuse Awareness Day
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First observed by the United Nations in 2012, World Elder Abuse Awareness Day (WEAAD) recognizes that nearly every country across the globe will see a substantial growth in the number of older persons in the next decade. With the population of older persons increasing, it unfortunately also leads to an increase in the amount of elder abuse.
Trusted Contact Person (TCP) – Did you assign one? Were you asked?
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Do you have a trusted contact person (TCP)? At the end of last year new amendments to securities laws require advisers to ask their clients to name a TCP that the adviser can contact under certain circumstances. Advisers are required to ask for this information and get written consent to use it, but it is up to the investor to determine if they want to provide it.