Being an informed investor is one of your best defences against investment fraud. Before investing we encourage you: 1. Check Registration Check the registration of the individual or firm you deal with. 2. Check Disciplinary History To see if disciplinary decisions or cease trade...
Securities Fees Schedule Registration Type Fee (a) Application for a dealer, adviser or investment fund manager, regardless of the number of categories of registration to which the application relates. $750 (b) Application for a representative, ultimate designated person or chief...
Why is registration important? Securities industry professionals are required to register with the securities regulator in each province or territory where they do business. Registration helps protect investors because securities regulators will only register firms and...
Securities law applies to all Islanders looking to raise money from investors; not just public companies listed on a stock exchange. As a general legal requirement, anyone raising money in Prince Edward Island must file a prospectus unless they qualify for an exemption...
CSA Instruments and Policies 41-101 National Instrument - General Prospectus Requirements as of September 19, 2025 41-101 CP Companion Policy - General Prospectus Requirements as of March 3, 2025 43-101 National Instrument - Standards of Disclosure for Mineral Projects as of June...
CSA Instruments and Policies 31-102 National Instrument - National Registration Database as of January 13, 2014 31-102 CP Companion Policy - National Registration Database as of September 28, 2009 31-103 National Instrument - Registration Requirements, Exemptions and Ongoing...
Canadian Securities Administrators Investor Warnings and Alerts This list CSA member investor alerts is intended to assist the public and the securities industry in conducting due diligence. The subjects of these alerts are persons or companies who appear to be engaging in...
Getting Registered The PEI Financial and Consumer Services Division reviews applications for registration from dealers and advisers who are in the business of trading or advising in PEI. The Division administers the Securities Act through the regulation and oversight of...
We keep complaints confidential, and all complaints must be in writing. We cannot act on complaints that are made anonymously. If you have serious concerns about the way your investments have been handled, a company you have invested in, or believe securities law has been...