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.
Nova Scotia Securities Commission Code of Conduct
Are you concerned about how your investments or securities have been handled? Not sure about the company you invested in? Believe a company or individual has contravened securities laws? Make a formal, confidential complaint with the NSSC.
The Commission is an administrative tribunal that does not have the authority to recover losses on behalf of investors. If you seek to recover losses, please contact a lawyer to determine the options available to you.
If your concern is related to your investment adviser or investment accounts:
- we recommend trying to resolve your dispute with your financial adviser, the branch manager, or the compliance officer at the registered dealer where your adviser works; or
- if dealing with firms that are members of Investment Industry Regulatory Organization of Canada (IIROC) or Mutual Fund Dealers Association of Canada, contact these organizations directly; or
- contact the Ombudsman for Banking Services and Investments; or
- contact NSSC Compliance.
To make a confidential complaint, regarding possible violations of Nova Scotia securities laws, contact the NSSC's Enforcement Branch:
- Complete the NSSC's Enforcement Branch Online Form, or
- Contact the NSSC's Enforcement Branch by email.
Here are two useful guides for people involved in enforcement proceedings
*We use the information you provide in the complaint form or email to determine what action, if any, we can take. We will also determine if your complaint should be re-directed internally or to another agency.
If we determine that a detailed review of your complaint should be conducted, you will receive a letter (please provide us with your mailing address) with contact details for the person assigned to your complaint. You may contact this person to discuss any further questions, comments or concerns, or to provide additional or new information relevant to your complaint.
Please understand that the contact person is unable to discuss with you any details of an investigation prior to its conclusion. We take this precaution to ensure that we do not divulge any information that may jeopardize an investigation. Once an investigation is complete, and we have taken appropriate action we can then inform you of the outcome. *