The enforcement division is responsible for the assessment, investigation and, in appropriate cases, prosecution of complaints and referrals to the Commission involving violations of the various laws over which the Commission has authority.

View Orders & Decisions from regulatory bodies and recently disciplined persons lists.

View Notices of Hearings, Statements of Allegations, Orders, Decisions and other documents in relation to proceedings held before a New Brunswick Securities Commission administrative tribunal panel as well as materials relating to new proceedings commenced by FCNB Enforcement staff.

View undertakings have been requested because the parties listed below appeared to have been engaged in unregistered activity or have otherwise violated securities law. The parties have agreed to discontinue activities described in the undertaking voluntarily.

Enforcement FAQs

Learn more about frequently asked questions related to the Enforcement division.

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