October 2018
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
October 2018
Securities - Extending Order in the Matter of ASBCFinancial and Walter Turner
October 25, 2018 - The Financial and Consumer Affairs Authority of Saskatchewan issued Extending Order in the Matter of ASBCFinancial and Walter Turner
For more information contact:
Nathanial Day, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5843
Fax: (306) 787-5899
Email: nathanial.day@gov.sk.ca
Securities - CSA Notice and Request For Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments
October 25, 2018 - The Canadian Securities Administrators today published CSA Notice and Request For Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments
- CSA Notice and Request For Comment
- Annex A - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
- Annex B - Local Matters
The comment period ends December 24, 2018
For more information, please contact:
Liz Kutarna, Deputy Director, Capital Markets
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5871
Fax: (306) 787-5899
Email: liz.kutarna@gov.sk.ca
Securities - Greystone Managed Investments Inc. and Greystone Bond Plus Fund and Greystone Short Bond Plus Fund
October 19, 2018 - Decision pursuant to Section 160 of The Act exempting Greystone Managed Investments Inc. and Greystone Bond Plus Fund and Greystone Short Bond Plus Fund from Section 120(2)(b), 120(2)(c), 120(3) of The Securities Act, 1988 and section 13.5(2)(a) of NI 31-103.
Securities - Greystone Managed Investments Inc. and The Top Funds
October 19, 2018 - Decision pursuant to Section 160 of The Act exempting Greystone Managed Investments Inc. and The Top Funds from Section 120(2)(b), 120(2)(c), 120(3) of The Securities Act, 1988 and section 13.5(2)(a) of NI 31-103.
Securities - Greystone Managed Investments Inc. and Greystone Alternative Plus Fund
October 19, 2018 - Decision pursuant to Section 160 of The Act exempting Greystone Managed Investments Inc. and Greystone Alternative Plus Fund from Section 120(2)(b), 120(2)(c), 120(3) of The Securities Act, 1988 and section 13.5(2)(a) of NI 31-103.
Securities - Local Notice and Request for Comment - Proposed Consequential Amendments to Multilateral Instrument 11-102 Passport System
October 19, 2018 - The Financial and Consumer Affairs Authority of Saskatchewan today published Local Notice and Request for Comment - Proposed Consequential Amendments to Multilateral Instrument 11-102 Passport system
- Local Notice and Request for Comment - Proposed Consequential Amendments to Multilateral Instrument 11-102 Passport System
- Annex A - Proposed Consequential Amendments to Multilateral Instrument 11-102 Passport System
- Annex B - Local Matters
The comment period ends December 18, 2018
For more information, please contact:
Heather Kuchuran, Senior Securities Analyst, Corporate Finance
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-1009
Fax: (306) 787-5899
Email: Heather.Kuchuran@gov.sk.ca
Securities - General Order 11-501 Exemption from the requirement to send financial statement and related disclosure to securityholders during a disruption in postal services (Reporting Issuers)
October 19, 2018 - The Financial and Consumer Affairs Authority of Saskatchewan approved General Order 11-501 Exemption from the requirement to send financial statement and related disclosure to securityholders during a disruption in postal services (Reporting Issuers)
For more information contact:
Sonne Udemgba, Deputy Director, Legal
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5879
Fax: (306) 787-5899
Email: sonne.udemgba@gov.sk.ca
Securities - General Order 11-502 Exemption from the requirement to send financial statement and related disclosure to securityholders during a disruption in postal services (Investment Funds)
October 19, 2018 - The Financial and Consumer Affairs Authority of Saskatchewan approved General Order 11-502 Exemption from the requirement to send financial statement and related disclosure to securityholders during a disruption in postal services (Investment Funds)
For more information contact:
Sonne Udemgba, Deputy Director, Legal
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5879
Fax: (306) 787-5899
Email: sonne.udemgba@gov.sk.ca
Securities - CSA Notice and Request for Comment Proposed Amendments to National Instrument 24-102 Clearing Agency Requirements and Proposed Changes to Companion Policy 24-102 Clearing Agency Requirements
October 18, 2018 - The Canadian and Securities Administrators today published CSA Notice and Request for Comment Proposed Amendments to National Instrument 24-102 Clearing Agency Requirements and Proposed Changes to Companion Policy 24-102 Clearing Agency Requirements
- CSA Notice and Request for Comment
- Annex A - Proposed Amendments to National Instrument 24-102 Clearing Agency Requirements
- Annex B - Proposed Changes to Companion Policy 24-102CP to National Instrument 24-102 Clearing Agency Requirements
- Annex C - Blacklined Proposed Amendments to National Instrument 24-102 Clearing Agency Requirements (showing the changes under the Proposed Amendments to the Instrument)
- Annex D - Blacklined Proposed Changes to Companion Policy 24-102CP to National Instrument 24-102 Clearing Agency Requirements (showing the changes under the Proposed Changes to the CP)
- Annex E - Local Matters
The comment period ends January 16, 2019
For more information, please contact:
Liz Kutarna, Deputy Director, Capital Markets
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5871
Fax: (306) 787-5899
Email: liz.kutarna@gov.sk.ca
Securities - CSA Staff Notice 11-338 CSA Market Disruption Coordination Plan
October 18, 2018 - The Canadian Securities Administrators today published CSA Staff Notice 11-338 CSA Market Disruption Coordination Plan
For more information contact:
- Liz Kutarna, Deputy Director, Capital Markets
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5871
Fax: (306) 787-5899
Email: liz.kutarna@gov.sk.ca
Securities - Order Setting Hearing Dates in the Matter of Lionexo and Quattro Enterprises EOOD
October 16, 2018 - The Financial and Consumer Affairs Authority of Saskatchewan issued Order Setting Hearing Dates in the Matter of Lionexo and Quattro Enterprises EOOD
For more information contact:
Nathanial Day, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5843
Fax: (306) 787-5899
Email: nathanial.day@gov.sk.ca
Securities – The Securities Commission (Adoption of National Instruments) (NI 45-106) Amendment Regulations, 2018
October 16, 2018 - The Securities Commission (Adoption of National Instruments) (NI 45-106) Amendment Regulations, 2018 comes into force on October 12, 2018.
- The Securities Commission (Adoption of National Instruments) (NI 45-106) Amendment Regulations, 2018
For more information contact:
Sonne Udemgba, Deputy Director, Legal
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5879
Fax: (306) 787-5899
Email: sonne.udemgba@gov.sk.ca
Securities - Temporary Order in the Matter of ASBCFinancial and Walter Turner
October 12, 2018 - The Financial and Consumer Affairs Authority of Saskatchewan issued Temporary Order in the Matter of ASBCFinancial and Walter Turner
For more information contact:
Dallas Smith, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5843
Fax: (306) 787-5899
Email: dallas.smith@gov.sk.ca
Securities - CSA Staff Notice 51-357 Staff Review of Reporting Issuers in the Cannabis Industry
October 10, 2018 - The Canadian Securities Administrators today published CSA Staff Notice 51-357 Staff Review of Reporting Issuers in the Cannabis Industry
For more information contact:
Tony Herdzik, Deputy Director, Corporate Finance
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5849
Fax: (306) 787-5899
Email: tony.herdzik@gov.sk.ca
Securities - CSA Staff Notice 45-308 (Revised) Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions
October 4, 2018 - The Canadian Securities Administrators today published CSA Staff Notice 45-308 (Revised) Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions
- CSA Staff Notice 45-308 (Revised)
- Annex 1 – Tips for Completing and Filing the Report
- Annex 2 – Checklist of Certain Information Requirements in the Report
- Annex 3 – Frequently Asked Questions
- Annex 4 – Transition to the 2016 Report
- Annex 5 – Contact Information of Public Officials regarding Indirect Collection of Personal Information
For more information contact:
Tony Herdzik, Deputy Director, Corporate Finance
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5849
Fax: (306) 787-5899
Email: tony.herdzik@gov.sk.ca
Securities - Notice of First Appearance and Adjournment and Extending Order in the Matter of Lionexo and Quattro Enterprises EOOD
October 4, 2018 - The Financial and Consumer Affairs Authority of Saskatchewan issued Notice of First Appearance and Adjournment and Extending Order in the Matter of Lionexo and Quattro Enterprises EOOD
For more information contact:
Nathanial Day, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5843
Fax: (306) 787-5899
Email: nathanial.day@gov.sk.ca
Securities - CSA Notice of Amendments Modernization of Investment Fund Product Regulation - Alternative Mutual Funds
October 4, 2018 - The Canadian Securities Administrators today published CSA Notice of Amendments Modernization of Investment Fund Product Regulation - Alternative Mutual Funds
- CSA Notice of Amendments
- Annex A – Summary of Changes to the Proposed Amendments
- Annex B – Summary of Public Comments and CSA Responses on the Proposed Amendments
- Annex C-1 - Amendments to National Instrument 81-102 Investment Funds
- Annex C-2 – Changes to Commentary to National Instrument 81-102 Investment Funds
- Annex C-3 – Blackline of National Instrument 81-102 Investment Funds to highlight the Amendments
- Annex C-4 - Changes to Companion Policy 81-102CP to National Instrument 81-102 Investment Funds
- Annex D-1 – Amendments to National Instrument 81-104 Commodity Pools
- Annex D-2 - Withdrawal of Companion Policy 81-104CP to National Instrument 81-104 Commodity Pools
- Annex E – Amendments to National Instrument 41-101 General Prospectus Requirements
- Annex F - Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure
- Annex G – Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure
- Annex H-1 – Amendments to National Instrument 81-107 Independent Review Committee for Investment Funds
- Annex H-2 – Changes to Commentary to National Instrument 81-107 Independent Review Committee for Investment Funds
- Annex I – Local Matters
For more information, please contact:
Heather Kuchuran, Senior Securities Analyst, Corporate Finance
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-1009
Fax: (306) 787-5899
Email: Heather.Kuchuran@gov.sk.ca
Securities - Statement of Allegations in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.
October 1, 2018 - The Financial and Consumer Affairs Authority of Saskatchewan issued Statement of Allegations in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.
For more information contact:
Nathanial Day, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5843
Fax: (306) 787-5899
Email: nathanial.day@gov.sk.ca
Securities - Statement of Allegations in the Matter of Lionexo and Quattro Enterprises EOOD
October 1, 2018 - The Financial and Consumer Affairs Authority of Saskatchewan issued Statement of Allegations in the Matter of Lionexo and Quattro Enterprises EOOD
For more information contact:
Nathanial Day, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5843
Fax: (306) 787-5899
Email: nathanial.day@gov.sk.ca
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca