for "office superintendent securities"
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...
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...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Local Rule Document No: 15-502 Subject: Procedures for Hearings before the Superintendent or before a Delegate of the Superintendent Effective Date: December 22, 2012 Local Rule 15-502 Procedures for Hearings before the...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Blanket Order Document No: 21-504 Subject: In the Matter of Temporary Exemption from Certain Reporting Requirements for Regulated Entities Carrying on Business in Prince Edward Island Effective Date: March 23, 2020 BLANKET...
Issuers that are reporting issuers must make periodic filings with the Superintendent of Securities under the Securities Act, R.S.P.E.I. 1988, Cap. S-3.1 and rules. We maintain a list of issuers who are reporting issuers in Prince Edward Island. A reporting issuer in Prince...
In the matter of the Securities Act R.S.P.E.I. 1988, CAP. S-3.1 - and - In the matter of Registration Exemption Enabling a Corporation of an Individual Registrant of a Mutual Fund Dealer or Investment Dealer to Receive Directed Sales Commissions or Fees Whereas: A commission or...
Securities Act R.S.P.E.I. 1988, Cap.-S-3.1 Document Type: Blanket Order Document No.: 31-516 Subject : Exemption from the Requirement to Register as an Investment Fund Manager Effective Date: July 5, 2012 Blanket Order 31-516 Exemption from the Requirement to Register as an...
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...