The Securities Division provides day to day administration of the Securities Act through the regulation and oversight of registrants, securities issuers and self-regulatory organizations.  Securities Division staff review offering documents, continuous disclosure documents and applications to ensure these filings comply with securities laws.

 

 

Staff also review applications for registration from dealers and advisers who are in the business of trading or advising in New Brunswick. Compliance staff regularly conduct compliance reviews on the operations and practices of registered firms and the disclosure of issuers.  Staff participate on national committees respecting the development and drafting of securities laws and policies.

Staff encourage Fintech businesses seeking to offer innovative products, services and applications to register and/or obtain exemptive relief from securities laws requirements. The CSA Regulatory Sandbox allows a Fintech business to test their products, services and applications on a time limited basis. More information can be found here.  

 

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