Complaints
The enforcement staff of the Nova Scotia Securities Commission conducts investigations with respect to violations of Nova Scotia Securities Laws. The staff welcomes complaints made in writing in the manner provided in this section. Staff expects that complainants will have attempted to resolve any outstanding issues related to service matters with the dealer, registered individual or self-regulatory organization (SRO) such as the Investment Industry Regulatory Organization of Canada (IIROC) or the Mutual Fund Dealers Association (MFDA). Complainants may also address complaints to the Ombudsman for Banking Services and Investments (OBSI). All complaints alleging breach of securities laws should be forwarded to enforcement staff.
How to Make a Complaint
To make a complaint you may:
- download a Complaint Form (Adobe PDF) or Printer-friendly, HTML and fax to (902) 424-3538
- or mail a completed Complaint Form to:
Compliance and Enforcement
Nova Scotia Securities Commission
PO Box 451
Halifax, NS B3J 2P8 - or visit us in person at
1809 Barrington Street
Suite 501
Halifax, NS B3J 3K8 - or telephone: (902) 424-4558