Securities
Overview
The Commission administers the Securities Act through regulation, oversight and registration of professionals working in the industry. We make and enforce laws governing the securities industry in New Brunswick that aim to maintain the integrity of the markets.
Consumer Protection
We monitor investment industry professionals for compliance with New Brunswick’s Securities Act. Firms and individuals who sell securities or derivates, offer investment advice or act as an investment fund manager in New Brunswick must, with some exceptions, be registered with the Commission.
Check if a firm or individual is registered.
The Commission only registers firms and individuals who are properly qualified, meet the required standards for their category of registration and have completed a background and police check. If there are any restrictions placed on a firm or individual by the Commission or other regulators, these will be listed with their registration information.
Crypto asset trading platforms (sometimes called “crypto exchanges”) that provide services to Canadians, must also be registered by a Canadian securities regulator. This applies to platforms that hold an investor’s crypto instead of sending it right away to their wallet, and to platforms that trade crypto assets that are securities.
Check to see if the crypto asset trading platform is registered.
What we can do:
- register investment professionals and crypto asset trading platforms
- conduct compliance reviews
- investigate complaints and alleged breaches of securities law and take enforcement action if laws have been violated
- issue warnings about unregistered firms and individuals
What we cannot do:
- recover money lost in investments
- provide investment advice
- reverse an investment transaction
Resources
Learn more about investing and crypto assets at Finfo.ca.