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The Enforcement branch enforces the securities act in Nova Scotia. They investigate any reported violations of securities laws. For example, this could include someone offering securities to Nova Scotia residents without being registered to do so, or someone committing investment fraud.
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Corporate Finance oversees entities raising capital through the sale of securities in Nova Scotia. These entities include: publicly traded issuers and private issuers. Private issuers are subject to securities regulation but may be able to use exemptions from securities laws.
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Policy and Market Regulation oversees several aspects of securities regulation.
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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.
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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.
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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.
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Do you know your risk capacity when it comes to investing?
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As we get to the end of Seniors’ Month let’s talk about investment scams that specifically target seniors.
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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.