Capital Markets (Registration) Branch
The Capital Markets branch is responsible for the administration of the registration system in Nova Scotia. There are over 300 dealer and adviser firms registered. In addition there are 7600 individual registrants employed to trade or advise on their behalf.
The Deputy Director Capital Markets is responsible for the day to day administration of branch activities and reports to and advises the Director with respect to the granting of registrations in accordance with the Securities Act and the rules and regulations made under the Act.
In addition the branch participates in developing policy for the Director and the Commission with respect to the regulation of dealers and advisers in the Province. Much of this work is done through committees of the CSA, particularly the Capital Markets Committee.
To contact the branch, you may call the Deputy Director, Capital Markets, Brian W. Murphy, at (902) 424-4592 or email him at murphybw@gov.ns.ca or send him a fax message at (902) 424-4625.