Compliance & Enforcement
The Compliance & Enforcement Branch is responsible for ensuring compliance with Nova Scotia securities laws, dealing with complaints and enforcement proceedings. To those ends, the branch conducts compliance examinations, carries out investigations and commences proceedings before the Commission.
The branch also co-operates with other securities regulatory authorities in Canada to protect the public against those who infringe securities legislation and activities that represent a danger to the public interest in fair and efficient markets.
To contact the branch you may call R. Scott Peacock at (902) 424-6179 or send an email message to peacocrs@gov.ns.ca or a fax message to (902) 424-3538.