Sometimes, the information we receive from complaints, audits and compliance activities, or from other sources, leads to investigations. These investigations may indicate that people or entities have violated the requirements set out in New Brunswick’s financial and consumer services legislation. If these people or entities reside within New Brunswick, we use our legislated authority to hold them accountable through our hearing processes or by collaborating with law enforcement. If they are outside New Brunswick, we work with other regulators and law enforcement to make appropriate referrals where possible.
We may also try to limit the scope of activity a registered person can engage in by imposing limitations or terms and conditions on a licence. In other cases, we have the authority to freeze accounts or order that certain behaviour stop. We also issue public alerts from time to time when we have evidence that someone has violated regulatory provisions in other jurisdictions or we have clear evidence of fraud.
You can sign up for alerts here.
If you have a complaint under New Brunswick’s financial and consumer protection laws, call us at 1 866 933-2222 or file your complaint online here.
You can review our Caution List to see if we’ve issued an alert on a particular individual or firm.
You can find material relating to FCNB’s Regulator Decisions here.