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...
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.
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...
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...
Proceedings / Motions:
Paul Edward Maines / Capital Markets Technologies, Inc. / 7645686 Canada Inc.
Notice of Hearing
Notice of Preliminary Motion
Notice of Adjournment of Motion
Reasons for Adjournment of Motion
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...
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...
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
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...