Securities Industry Participants

Securities Industry Participants

The Financial and Consumer Affairs Authority (FCAA) is responsible for developing and enforcing securities laws, which regulate Saskatchewan capital markets and protect investors.

FCAA:

• Develops new legislation and regulatory instruments;
• Reviews documents by which companies sell their securities to ensure that basic merit standards are met and there is proper disclosure about investments being sold;
• Ensures that public companies report to their shareholders and FCAA about their ongoing operations;
• Registers investment dealers, mutual fund dealers, exempt market dealers and scholarship plan dealers, advisers, investment fund managers, portfolio managers and restricted portfolio managers, dealing representatives, advising representatives, associate advising representatives and chief compliance officers;
• Reviews applications for exemption from the registration and prospectus requirements and processes statutory exemption and take-over bid filings;
• Investigates complaints and apply legal sanctions to those who have violated The Securities Act, 1988, the regulations, or industry standards.
   

Consult the resources below for information on a number of important topics.

• Securities Laws

  View The Securities Act, 1988, including the Regulations and forms, a list of regulatory instruments and policies, general orders, and more.

• Fees

  A list of registration, prospectus, exemption, continuous disclosure and other fees.

• Documents Published for Comment

  View the list of documents published for commenting on Saskatchewan securities laws

• Enforcement proceedings

  Check to see if an individual or company is, or has been, involved in an enforcement proceeding.

• Registration

  For information regarding registering as a securities registrants, see the information below.

• Non-Enforcement Hearings

  This section contains proceedings currently before the Authority.

• Industry Searches

  Search different Canadian databases to make sure individuals and companies are registered to sell securities and have not been disciplined for breaking laws.

• Unpaid Penalties and Costs List

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

• Exemptions

  Information for companies seeking exemptions.

• Cease Trade Orders

  Search FCAA's Continuous Disclosure Cease Trade Order database to find Saskatchewan companies and individuals who have failed to comply with filing requirements. Search the Canadian Securities Administrators Cease Trade Order database to find companies and individuals who are not allowed to trade in securities and specific companies and individuals who can only trade certain securities.

• Raise Capital Using a Prospectus

  Information for companies wanting to raise capital with a prospectus.