FCAA is Saskatchewan’s financial and consumer marketplace regulator.
Home > Securities Industry Participants > Securities Laws > Regulatory Instruments > Part 3 - Registration and Related Matters > 31 - Registration Requirements > 31-350 - Guidance on Small Firms Compliance and Regulatory Obligations (National Notice)
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Effective Date: May 18, 2017
This notice provides guidance with respect to deficiencies which in our view may present particular challenges for small firms.