Regulators

Prince Edward Island Office of Securities Supervisors (OSS)

Prince Edward Island's Office of Securities Supervisory Affairs, Department of Justice and Public Relations Security, regulates securities transactions in the province.

Introduction

Prince Edward Island's Office of Justice and Public Relations Security's Office of Securities Supervisors regulates securities transactions in the province.
Justice and Public Relations Security Department: http://www.gov.pe.ca/jps
Securities Regulatory Office: http://www.gov.pe.ca/securities
At present, in order to provide better services, the province is building a new service website, the content of which is not yet perfect:
https://www.princeedwardisland.ca
The Prince Edward Island Office of Securities Supervisors administers the province's securities laws. It aims to establish a fair and efficient capital market and protect the interests of investors. The office works to improve and harmonize the regulation of Canadian capital markets.
Our securities legislation is designed to ensure that PEI's capital markets operate fairly and efficiently for participants and that investors have access to timely and accurate information on which to base their investment decisions. Securities dealers supervising PEI are required to register and self-regulate in accordance with applicable laws and professional standards.
The PEI Office of Securities Supervisors has the authority to hear enforcement proceedings and has the right to request exemptions from securities law requirements.
We are a member of the Canadian Securities Administrators (CSA), an association of 13 securities regulators in Canada.

How to complain

1. Complaints to the PEI Office of Securities Supervisors must be in writing and anonymous complaints will not be entertained.
2. If you are dissatisfied or uneasy about the way your investment company has been handled, you may file a formal complaint with the Prince Edward Island Securities Regulatory Office.
3. To file a complaint with the Prince Edward Island Securities Regulatory Office, please submit the following content:
Contact information, summary of claims and incidents, specific time of the dispute, measures taken so far, name, address and contact information of the complaining company, copies of evidentiary documents and other relevant valid information.
(Note that the PEI Office of Securities Supervisors does not have the authority to help you seek compensation, cancel contracts or withdraw funds, nor can it provide legal assistance or recommend a lawyer.)
4. If your complaint involves investment accounts, financial advisors, or investment institutions, you should first contact the company's complaint department. If it involves IIROC or MFDA members or regulations, you can file a complaint with IIROC/MFDA

Contact information

Phone: 1 902-368-6288 Fax: 1 902-368-5283 Email: [email protected]
Address: Janice Callbeck, PEI Office of the Superintendent of Securities, P. O. Box 2000, 95 Rochford, Street, 4th Floor, Shaw Building, Charlottetown, PE C1A 7N8

Related Links

Canada Dealer Fund Association (MFDA): http://www.mfda.ca

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