File a Complaint or Report a Scam

The Nova Scotia Securities Commission regulates activities involving securities and derivatives that occur in Nova Scotia or that involve Nova Scotian residents. Unless there is a connection to Nova Scotia, the Commission does not have the legal authority to intervene.

Provide as much detail as possible to help us determine in the NSSC has the authority to deal with your complaint and how we can help you. If your complaint does not have a Nova Scotia connection you should contact the securities regulator in the jurisdiction in which you live.

Tell us about the company and/or individual(s) involved.

What is the connection to Nova Scotia?

Tell us about the investment product.

Provide the name of the investment product. Depending on the nature of the complaint, we may require additional information such as file or reference numbers, account details, number of units bought or sold, how much invested and when. The more information you can provide, the easier it will be for us to determine how to assist you.

Please provide a detailed description of your complaint, including key dates.

Who have you contacted about this matter?

The company or firm

The individual(s) who sold the investment product

Other Securities Commissions in Canada

Securities Commissions outside of Canada i.e. U.S. Securities Exchange Commission

Investment Industry Regulatory Organization of Canada (IIROC)

Mutual Fund Dealers Association of Canada (MFDA)

Ombudsman for Banking Services and Investments (OBSI)

Local Police / RCMP

Tell us what steps you’ve taken:

What steps have you taken to try to resolve your complaint so far? Include whether or not you have started legal action, or details of any contact you’ve had with other organizations.

Do you have any additional comments?

Contact Details

Contact details are required to submit a complaint. Failure to provide complete information will delay any response.

Name *

Email Address *

Phone Number (Format: xxx-xxx-xxxx) *

Mailing address (Street, City, Province, Postal Code) *

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.