When Registration staff (Staff) recommend that the Director refuse, amend, or suspend registration, or impose terms and conditions on a registration, Staff will provide the applicant with written notice of its recommendation and brief reasons for it. Section 32A of Nova Scotia’s Securities Act provides that the firm or individual may request to be heard by the Director before a decision is made concerning staff’s recommendation. The Director will issue a written decision on the matter to the firm or individual, and to Staff. The firm or individual subsequently has 30 days from the date of the Director’s decision to request a review of said decision.
- May 31, 2022 - Notice of Pre-Hearing Conference
- August 2, 2022 - Memo of Pre-Hearing Conference
- August 23, 2022 - Reasons for Decision on Pre-Hearing Conference Application
August 19, 2010 - In the Matter of TurnPointe Wealth Management Inc. and Fredrick Saturley (Review of Director's Decision)