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Filing a Complaint with Securities
2017-09-19
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 breached by a company or...
Securities Registration
2017-09-19
Anyone who is trading or advising in securities in the province should be registered with the Securities Office. Firms and individuals registered in Prince Edward Island can be searched on the Canadian Securities Administrators (CSA) website under National Registration Search . If you have any...
Community Economic Development Business
2017-09-19
A company or association that meets the criteria prescribed by the Community Development Equity Tax Credit Act and regulations may be registered as a community economic development business by the minister of Finance and Municipal Affairs. The Prince Edward Island, Securities Act, , including Local...
Securities Enforcement
2017-09-19
Proceedings / Motions:, Paul Edward Maines / Capital Markets Technologies, Inc. / 7645686 Canada Inc. Notice of Hearing Notice of Preliminary Motion Procedural Direction Notice of Adjournment of Motion Reasons for Adjournment of Motion Notice of Hearing Notice of Adjournment of Hearing Reasons for...
Securities Fees
2017-09-18
The fees payable under the new, Securities Act, R.S.P.E.I. Cap. S-3.1 are set in a Schedule to the Act. The fees are as follows:, Registration Fees (effective August 1, 2016), Firms - $750 (regardless of the number of categories to which the application relates) Mutual Fund Dealer Investment Dealer...
2009-1 - Notice of Amendment of National Instruments
2017-09-18
Securities Act, R.S.P.E.I. 1988, Cap. S-3.1, section 169 (Notice 2009-1), Public notice is hereby given that, the Minister, upon the recommendation of the Superintendent, has made the following amendments: Prince Edward Island Rule 11-802 Incorporating amendments to Multilateral Instrument 11-102...
2010-1 - Notice of Amendment of National Instruments
2017-09-18
Securities Act, R.S.P.E.I. 1988, Cap. S-3.1, section 169 (Notice 2010-1), Public notice is hereby given that, the Minister, upon the recommendation of the Superintendent, has made the following Rules amendments: Prince Edward Island Rule 11-801 Repealing Multilateral Instrument 11-101 - Principal...
2010-2 - Notice of Amendment of National Instruments
2017-09-18
Securities Act, R.S.P.E.I. 1988, Cap. S-3.1 (Notice 2010-2), Public notice is hereby given that, the Minister, upon the recommendation of the Superintendent, has made the following Rules amendments: Prince Edward Island Rule 11-802 Amending Multilateral Instrument 11-102 - Passport System Prince...
Securities Fees Schedule
2017-09-18
Securities Fees Schedule, 1. The fee payable for an application for the registration of a dealer, adviser or investment fund manager, regardless of the number of categories of registration to which the application relates, is $750; a representative, ultimate designated person or chief compliance...
Securities Notices
2017-09-18
September 21, 2009 - Notice 2009-1 March 3, 2010 - Notice 2010-1 March 3, 2010, (Correction), - Notice 2010-1 April 1, 2010 - Notice 2010-2 MFDA Application for Recognition Public Notice 2015-01