Nova Scotia Securities Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 20 Jun 2024 19:40:44 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Nova Scotia Securities Commission – Investment Executive https://www.investmentexecutive.com 32 32 EMDs allowed to play in prospectus deals https://www.investmentexecutive.com/news/from-the-regulators/emds-allowed-to-play-in-prospectus-deals/ Thu, 20 Jun 2024 16:51:25 +0000 https://www.investmentexecutive.com/?p=488116 Regulators adopt temporary measure to expand capital raising options

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]]> Nova Scotians warned about “pig-butchering” crypto scam that has cost victims $750K https://www.investmentexecutive.com/news/from-the-regulators/nova-scotians-warned-about-pig-butchering-crypto-scam-that-has-cost-victims-750k/ Mon, 09 Jan 2023 19:49:22 +0000 https://www.investmentexecutive.com/?p=458359 Regulators in North America believe more than $1 billion has been lost to crypto scammers since 2021

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]]> Prop trading firm sanctioned for oversight failures https://www.investmentexecutive.com/news/from-the-regulators/prop-trading-firm-sanctioned-for-oversight-failures/ Wed, 14 Sep 2022 17:39:30 +0000 https://www.investmentexecutive.com/?p=451396 NSSC settles with Halifax firm that failed to oversee its day traders in China

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]]> Nova Scotia regulator bans repeat offender https://www.investmentexecutive.com/news/from-the-regulators/nova-scotia-regulator-bans-repeat-offender/ Tue, 11 Jan 2022 17:54:30 +0000 https://www.investmentexecutive.com/?p=437198 The former rep was also ordered to pay a $500,000 fine for securities violations

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]]> Do your research before investing: NSSC https://www.investmentexecutive.com/news/from-the-regulators/do-your-research-before-investing-nssc/ Mon, 01 Nov 2021 20:11:29 +0000 https://www.investmentexecutive.com/?p=432752 The Nova Scotia Securities Commission warns of unregistered crypto platform luring investors

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]]> NSSC orders fraudsmen to pay nearly $2M https://www.investmentexecutive.com/news/from-the-regulators/nssc-orders-fraudsmen-to-pay-nearly-2m/ Wed, 22 Sep 2021 20:02:42 +0000 https://www.investmentexecutive.com/?p=429427 The pair was banned, and ordered to pay penalties, costs and disgorgement

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]]> Regulators bring diversity push in-house https://www.investmentexecutive.com/news/from-the-regulators/regulators-bring-diversity-push-in-house/ Mon, 20 Sep 2021 17:39:38 +0000 https://www.investmentexecutive.com/?p=429158 North American body adopts diversity, inclusion policy

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]]> Maritime regulators kick off diversity discussion https://www.investmentexecutive.com/news/from-the-regulators/maritime-regulators-kick-off-diversity-discussion/ Thu, 16 Sep 2021 14:22:18 +0000 https://www.investmentexecutive.com/?p=428811 The NSSC and FCNB published a consultation paper on possible governance reform

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]]> Investment schemes violated rules, NSSC finds https://www.investmentexecutive.com/news/from-the-regulators/investment-schemes-violated-rules-nssc-finds/ Wed, 25 Aug 2021 17:09:23 +0000 https://www.investmentexecutive.com/?p=427433 A written hearing will be held to set sanctions in the case

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]]> NSSC reduces IIROC sanctions https://www.investmentexecutive.com/news/from-the-regulators/nssc-reduces-iiroc-sanctions/ Thu, 24 Jun 2021 18:06:05 +0000 https://www.investmentexecutive.com/?p=424335 The regulator reduced penalties against an advisor after finding errors in the SRO's decision

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