Securities Law and Policy

Securities laws foster a fair and efficient capital market in PEI and to protect investors. Securities legislation is designed to ensure that PEI's capital market operates fairly and efficiently for participants, and that investors have timely, accurate information on which to base investment decisions. It also ensures that those who sell securities in PEI are registered and that they conduct themselves according to applicable laws and professional standards.

The PEI Office of the Superintendent of Securities is empowered to hear enforcement proceedings and consider applications for exemptions from the requirements of the securities legislation.

Law and Policy (Securities Act, 2008) New Act

On March 17, 2008 the new Securities Act R.S.P.E.I. 1988, Cap. S-3.1 came into force. Regulations are made under section 168 of the new Act setting out rule-making procedures and establishing costs for hearings, reviews and investigations.

All other regulatory instruments are in Rules, made by the Minister under section 169 of the new Act.

PEI has also adopted by policy the National Policies set out below along with Rules which can be found by clicking on a Category below.

  1. Category 1: Procedure and Related Matters
  2. Category 2: Certain Capital Market Participants
  3. Category 3: Registration Requirements and Related Matters
  4. Category 4: Distribution Requirements
  5. Category 5: Ongoing Requirements for Issuers and Insiders
  6. Category 6: Take-Over Bids and Special Transactions
  7. Category 7: Securities Transactions Outside the Jurisdictions
  8. Category 8: Mutual Funds
  9. Category 9: Derivatives
  10. Documents Not Numbered
Published date: 
December 8, 2022
Justice and Public Safety

General Inquiries

Financial and Consumer Services Division
1st Floor, Shaw Building (North Entrance)
105 Rochford Street
PO Box 2000
Charlottetown, PE   C1A 7N8

Phone: 902-368-4550
Fax: 902-368-5283