Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

Enforcement Proceedings

  • Enforcement ProceedingsFilter By: 0-9 A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

    Under The Securities Act, 1988, the Financial and Consumer Affairs Authority of Saskatchewan (FCAA) can initiate proceedings against individuals and companies that it suspects of contravening Saskatchewan securities laws or acting contrary to the public interest. A proceeding is started when a notice of hearing is issued and the matter is heard by a hearing panel of FCAA members. If the hearing panel finds that securities laws were contravened, or that a party acted contrary to the public interest, it can impose sanctions such as financial penalties or bans on trading in capital markets.

    The filter above contains documents which are listed by respondent, according to the date the document was signed. The respondent is the individual or company that is the subject of a proceedings. The documents relate to enforcement proceedings, such as enforcement orders, notices of hearing, decisions, and settlements on completed matters and current proceedings. 

     

    Current Proceedings

    Find out about proceedings currently before the Financial and Consumer Affairs Authority of Saskatchewan.

     

    Unpaid Penalties and Cost List

    View the list of persons and entities with unpaid administrative penalties and costs owed to FCAA.

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