Office of the Superintendent of Securities
The Superintendent of Securities for Nunavut asks that all stakeholders continue sending and filing their materials in Nunavut electronically by sending them to the following e-Mail address:firstname.lastname@example.org
The Office of the Superintendent of Securities for Nunavut is responsible for the administration of securities laws. As a member of the Canadian Securities Administrators (CSA), the securities office actively participates in the harmonization of securities regulations with other jurisdictions throughout Canada to protect the investing public and promote a fair and efficient marketplace.
As a regulator, the primary mandate of the securities office is to protect the investing public. The office serves as a gatekeeper for firms and their salespersons wishing to sell securities to the public. The office reviews prospectuses and applications for exemptive relief, takes enforcement actions against persons and companies that have violated securities laws, and provides services for the public. They include:
- Filing disclosure documents
- Facilitating access to disclosure documents by the public
- Registration of dealers, advisors, and salespersons of securities
- Public access to the identity of dealers, advisors, and salespersons
- Responding to investor complaints
- Public education and information
To achieve the above-noted obligations, objectives, and national commitments, Nunavut enacted a Securities Act in 2008 and a Securities Transfer Act in 2010; This site provides access to information, laws, regulations, orders, decisions, notices, investor information, and other matters of interest and importance to individuals, firms, and investors. The Securities Offices encourages enquiries and submission of documents by electronic means.