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Financial Services Regulation Division

Services

  • Insurance Regulation covers the companies that provide insurance, the market intermediaries that sell insurance and various provisions of insurance contracts.
  • Securities Regulation involves the regulation of companies that raise capital from the investing public (e.g. reporting issuers), market intermediaries (registrants) that sell and advise in the trading of securities, oversight of certain self regulatory organizations, as well as regulation of the mutual funds industry.
  • Real Estate Regulation applies to the individuals and corporations that act for consumers in the purchase, sale, lease or rental of real estate, property management or collection of rents.
  • Mortgage Brokers Regulation licences individuals and corporations that deal in mortgages or act on behalf of a consumer to find a financial institution to give a mortgage to the consumer, establishes disclosure requirements on the cost of borrowing and regulation of fees that a mortgage broker can charge.
  • Consumer Protection Fund for Prepaid Funerals is administered by the Financial Regulations Division to protect consumers against loss of prepaid funerals.

Clients

Our clients include individuals and companies that provide financial products and services to the public. The regulated sectors include insurance, securities,pensions, real estate, mortgage brokers, prepaid funeral contracts, and deposit taking loan and trust companies.

Contact

John O’Brien
Director of Financial Services Regulation Division
Superintendent of Insurance, Real Estate, Mortgage Brokers, Securities and Pre-Paid Funerals

Financial Services Regulation Division
Service NL
Tel: (709) 729-4909
Fax: (709) 729-3205
Securities Fax: (709) 729-6187

Mailing Address:
Service NL
Financial Services Regulation Division
2nd Floor West Block, Confederation Building
1 Prince Philip Drive, P.O. Box 8700
St. John's, NL
A1B 4J6

Financial Services Regulation Division General Enquiries:
(709) 729-4834
servicenlinfo@gov.nl.ca

For Reporting Issuers requests, please click here.

 
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