October 2018

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

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

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

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.

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

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

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

Agree Term