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. 

Securities - In-person hearings can be held upon request

May 13, 2024 - The Financial and Consumer Affairs Authority ("FCAA") will hold all hearings pursuant to The Securities Act 1998, virtually. If an in-person hearing is preferred, counsel and/or self-represented litigants may make arrangements with the Registrar to schedule such matters.

The Registrar will continue to receive Statements of Allegations, Motions or other filings in electronic or paper form as contemplated in sub-section 1.4.3 of Saskatchewan Local Policy Statement 12-602 - Procedure on Hearings and Reviews Before the Commission.

For further information, the Registrar can be contacted by email at registrarfcaa@gov.sk.ca or by phone at (306) 787-5646. The co-operation and understanding of all involved is appreciated.

Guidelines for Hearings during a Pandemic

• Guidelines for Hearings during a Pandemic
• FCAA Virtual Hearing Participant Quick Reference Guide

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.